Local Government Authority Strategizing: A Middle ...€¦ · Web viewLocal Government Authority Strategizing: A Middle Management Perspective. Martin Whitehill. A submission presented

LOCAL GOVERNMENT AUTHORITY STRATEGIZING: A MIDDLE MANAGEMENT

PERSPECTIVE

MARTIN WHITEHILL

A submission presented in partial fulfilment of the requirements

of the University of Glamorgan/Prifysgol Morgannwg for the

degree of Doctor of Business Administration

27 September, 2010

STATEMENT OF ORIGINAL AUTHORSHIP

The author wishes to declare that except for commonly understood and accepted

ideas, or where specific reference is made, the work reported in this thesis is his own.

I declare that while registered as a candidate for the University of Glamorgan’s

research degree, I have not been a registered candidate or enrolled student for

another award of the University or other academic or professional institution.

I declare that no material contained in the thesis has been used in any other

submission for any academic award.

Martin Whitehill

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ACKNOWLEDGMENTS

I would like to thank my supervisor Professor Michael Sheehan for his guidance and

encouragement throughout the duration of my research and to the numerous

members of staff from the local government authority who participated in this

research study. Unfortunately, Michael Sheehan left the UK nearly two years before

the date of this thesis and I must thank the action research community around the

world for supporting me during this difficult time. I would especially acknowledge

and thank Bob Dick for his generous advice. Despite being one of the recognised

world leaders in the field of action research, he responded promptly to my emails,

provided me with personal advice and links to action research resources. Without

requesting it, he went out of his way to locate documents and articles for me. He

also followed up his emails with updates and encouragement.

I would also like to thank my wife Linda and daughters Michèle and Caroline

without whose encouragement, support and patience this thesis would not have been

possible.

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Local Government Authority Strategizing: A Middle Management Perspective

ABSTRACT

For the past four decades, researchers have been discussing and arguing over the

implementation of strategy within the public sector. There is an emerging literature

on pluralism, and the interdependence of strategizing and organizing which is

especially relevant to public service organizations. The research undertaken and

reported in this thesis set out to identify how strategizing was implemented within

one large local government authority, from the perspective of middle management.

The study sought to ascertain which, if any, of the many implementation theories

were applied in practice, and the implications of the tensions between strategizing

and organizing.

Methodologically, there is a recognised paucity of participatory action learning and

research in the strategizing field. Equally, gaps were found in the extant literature on

strategizing from the middle management perspective. This research addressed both

of these research gaps. The case study herein reported used participatory action

research methods. Participatory action research teams followed an action research

framework of six questions to identify the gaps between espoused theory and theory

in practice.

The findings were that the local government authority was not designed for the

external strategizing pluralism or the internal organizing pluralism. The organization

was designed for regulation and control and so not best suited for the delivery of

other types of service. The strategizing process lacked the specific policy input from

the various marginalised communities who required the services most. It also

specifically avoided any input from the front-line professional staff that held the

relevant knowledge, experience and skills. The pluralistic nature of the society

served and the lack of commitment on the frontline led to another phenomenon –

street-level bureaucrats and the politicization of the community. These frontline

service deliverers, ‘street-level bureaucrats’, not only interpreted the strategy to fit

the specific, unique context of each neighbourhood but also educated the citizens to

appreciate their own power through their politicization. The staff also restated their

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plans to fit the format of the current top-down strategy by rephrasing them using the

current political language of the day.

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TABLE OF CONTENTS

Local Government Authority Strategizing: A Middle Management Perspective.......................

Statement of original authorship................................................................................................

Acknowledgments....................................................................................................................

Abstract.....................................................................................................................................

List of tables...............................................................................................................................

Table of Figures........................................................................................................................

Abbreviations...........................................................................................................................

1. Introduction..........................................................................................................................

Background to the research....................................................................................13

Research problem and research question................................................................15

Justification for the research...................................................................................15

Outline of this thesis...............................................................................................16

Overview Chapter Two – Literature Review......................................................16

Overview Chapter Three - Methodology............................................................18

Overview Chapter Four – Findings from the Action Research programme.......20

Overview Chapter Five – Discussion on Practice-Theory Gap..........................21

Definitions..............................................................................................................21

Middle Management...........................................................................................21

Organizing...........................................................................................................22

Practice-theory gap.............................................................................................22

Professional.........................................................................................................22

Strategizing.........................................................................................................22

Delimitations of scope............................................................................................22

Conclusion..............................................................................................................22

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2. Literature review..................................................................................................................

Introduction.............................................................................................................23

Definitions..............................................................................................................25

Strategizing.........................................................................................................25

Organizing...........................................................................................................25

Differences between public services policy and strategy in the UK, and

modernization.........................................................................................................25

Modernization.....................................................................................................26

Pluralism.................................................................................................................29

Pluralistic organizing pressures have unintended strategizing implications.......31

Pluralistic strategizing pressures strain organizing capacity...............................38

Theoretical frameworks and theories of public services policy implementation42

Protracted tensions between organizing and strategizing...................................49

Framework for pluralistic context.......................................................................59

Concluding three key principles.............................................................................66

Summary.................................................................................................................66

3. research Methodology..........................................................................................................

Introduction.............................................................................................................69

Philosophical commitments....................................................................................70

Constructivism........................................................................................................75

Research Purpose....................................................................................................78

Research strategy....................................................................................................78

Middle Management Perspective...........................................................................79

Research Type........................................................................................................80

Action Research......................................................................................................81

Participatory Action Research............................................................................83

Critiques of Action Research..............................................................................86

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The Study of Practice and Participatory Action Research..................................86

Data Collection.......................................................................................................94

The role of Literature in Action Research..............................................................94

Validity and Reliability...........................................................................................96

Personal Bias.......................................................................................................96

Triangulation.......................................................................................................97

Alternative research methods considered...............................................................97

Interviews............................................................................................................97

Workshops..........................................................................................................97

Survey Questionnaires........................................................................................98

Observation.........................................................................................................98

Documents..........................................................................................................98

Ethical Considerations............................................................................................99

The selected Research Approach............................................................................99

Methods used, Validity and Trustworthiness....................................................100

4. The Participative Action research cycles...........................................................................

Introduction...........................................................................................................103

First PAR cycle: How do actors perceive the situation or the problem?..............105

Second PAR cycle: What results do they wish to achieve (i.e., objectives)?.......110

Third PAR cycle: What strategies do they intend to use in order to achieve these

objectives?............................................................................................................112

National policy documents................................................................................114

Local policy documents....................................................................................115

Fourth PAR cycle: What strategies do they actually produce in action?.............116

Fifth PAR cycle: What were the actual outcomes of these strategies?.................122

Sixth PAR cycle: To the extent that these outcomes were unintended (i.e. did not

match the desired results), what might account for this mismatch?.....................127

Summary...............................................................................................................137

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5. discussion on practice-theory gap......................................................................................

Introduction...........................................................................................................138

Nature of conclusions drawn from emergent research......................................139

Structure of this chapter....................................................................................140

Summary of Conclusions drawn from research issues and patterns surfaced in the

Previous Chapter...................................................................................................143

External Strategizing Pluralism and Internal Organizing Pluralism.................144

Theory-Practice Gap.............................................................................................146

Pluralistic organizing has unintended strategizing implications.......................146

Pluralistic strategizing pressures strain organizing capacity – for further research

...........................................................................................................................156

Protracted tensions between organizing and strategizing – for further research

...........................................................................................................................160

Theory-Practice Gap: Conclusion.....................................................................172

Conclusions about the research problem..............................................................175

Implications for theory.........................................................................................180

Implications for policy and practice.....................................................................180

Limitations............................................................................................................181

Reflections upon Methodology and Implications.................................................182

Implications for further research..........................................................................183

7. GLOSSARY.......................................................................................................................

Complex Adaptive System................................................................................185

Governance and Government............................................................................185

Managerialism...................................................................................................185

Middle Management.........................................................................................185

Organizing.........................................................................................................186

Policy................................................................................................................186

Practice-theory gap...........................................................................................186

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Professional.......................................................................................................186

Stakeholders......................................................................................................186

Strategizing.......................................................................................................186

8. Appendices.........................................................................................................................

Appendix One: Study Protocol.............................................................................189

Appendix Two: Analysis of government policy documents................................193

8. References..........................................................................................................................

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LIST OF TABLES

Table 1: Strategy framework or lenses (adapted from Johnson, Scholes and Whittington, 2008)..................................................

Table 2: Managing modes of association between strategizing and organizing (Jarzabkowski and Fenton, 2006: 643)......................

Table 3: Summary of researcher's position (Developed for the purposes of this thesis)...............................................................

Table 4: Positivism and phenomenology research philosophy (adapted from Gill and Johnson, 1991 and Easterby–Smith et. al., 1991).....................................................................................

Table 5: Key features of phenomenological methodological paradigm (Easterby-Smith et al. 1995).......................................

Table 6: Constructionists seek to engage participants in learning processes (adapted from Abell and Simons, 2000).....................

Table 7: Researcher's constructivist position (Lincoln and Guba 2000)...........................................................................................

Table 8: Eight-Stage Action Research Method (adapted from Cohen, et al, 2000: 235-7).......................................................................

Table 9: The research method stages defined by posing the questions each stage seeks to answer (Friedman, 2006: 133)....................................................................................................

Table 10: Three philosophical approaches to action research (Developed for the purposes of this thesis).................................

Table 11: Comparison of Quantitative and Qualitative Data Collection Methods (Bouma and Atkinson, 1995).......................

Table 12: Selected Research Approach (Developed for the purposes of this thesis)..............................................................................

Table 13: Participatory Action Research Cycle to answer the question: How do actors perceive the situation or the problem? (Developed for the purposes of this thesis)...............110

Table 14: Government documents cascading strategy February, 2004 (Developed for the purposes of this thesis)......................113

Table 15: Participatory action research cycle to answer the question: What strategies do they intend to use in order to achieve these objectives? (Developed for the purposes of this thesis).......................................................................................116

Table 16: Participatory action research cycle to answer the question: What strategies do they actually produce in action? (Developed for the purposes of this thesis)...............................121

Table 17: Summary of Strategic Objectives (Developed for the purposes of this thesis).............................................................123

Table 18: Participatory Action Research Cycle to answer the question: What were the actual outcomes of these strategies? (Developed for the purposes of this thesis)...............................126

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Table 19: Participatory Action Research Cycle to answer the question: To the extent that these outcomes were unintended (i.e. did not match the desired results), what might account for this mismatch? (Developed for the purposes of this thesis)..................................................................................................136

Table 20: Summary of research questions and findings (Developed for the purposes of this thesis)..................................................137

Table 21: Key Contributions to Knowledge of Theory-Practice Gap (developed for the purposes of this thesis)...............................139

Table 22: Key Contributions to Knowledge........................................177Table 23: National Policies.................................................................193Table 24: Local Government Authority Documents............................206

TABLE OF FIGURES

Figure 1: Structure of Literature Review (Developed for the purpose of this thesis).................................................................

Figure 2: Theoretical frameworks and theories of public services policy implementation (adapted from Le Grand, 2007)..............

Figure 3: McKinsey 7-S Framework (Waterman, Peters and Phillips, 1980)...........................................................................................

Figure 4: Schematic of PAR Questions and Findings (Developed for the purposes of this thesis).......................................................105

Figure 5: The Context Drivers & Challenges (Developed for the purposes of this thesis).............................................................108

Figure 6: Presentation slide to senior management, September, 2004 (Developed for the purposes of this thesis)......................114

Figure 7: Linkages from government policy to individual objectives (Developed by the PAR Team and reproduced for the purposes of this thesis).............................................................118

Figure 8: Schematic of the strategic policy framework (LGA document made anonymous for the purposes of this thesis)..................................................................................................131

Figure 9: LGA Policy in to practice framework (LGA document made anonymous for the purposes of this thesis).....................132

Figure 10: Causes of Unintended Outcomes (Developed for the purposes of this thesis).............................................................136

Figure 11: Contribution to Knowledge - the Effects caused by Pluralism...................................................................................143

Figure 12: Schematic of Theory-Practice Gap: structured for regulation, command and control (developed for the purposes of this thesis)............................................................................147

Figure 13: LGA Schematic of the strategic policy framework............149Figure 14: LGA Policy in to practice framework................................150

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Figure 15: Structure of Discussion: Local Government is a Constrained CAS (Developed for the purposes of this thesis)..................................................................................................160

Figure 16: Schematic of Strategizing (adapted from Stacey 1993)..................................................................................................168

Figure 17: Structure of Discussion: Lack of Democratic Voice..........169

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ABBREVIATIONS

CAS Complex Adaptive System

LGA Local Government Authority

NPM New Public Management

PAR Participatory Action Research

RBV Resource-Based View of strategy

WAG Welsh Assembly Government

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1. INTRODUCTION

This chapter sets the context and overview for the research programme undertaken

and forming the basis of this thesis. The chapter starts with the background to the

research programme, explaining the choice of organization and the type of research

employed. Following is an outline of the research problem and a justification for the

research. The methodology employed is covered briefly and the other chapters in

this thesis are described. The definition of strategizing and delimitations of the

research scope are specified before this chapter is concluded.

Background to the research

For the past four decades, researchers have been discussing and arguing over the

implementation of strategy within the public sector. The past two decades have

witnessed the implementation of New Public Management. There has been almost a

universal cry by the leading academics in the field for more empirical

implementation research (Barrett, 2004; DeLeon, 1999; DeLeon & DeLeon, 2002;

Lester & Goggin, 1998; Schneider, 1999; Schofield, 2001; Schofield & Sausman,

2004; S. Winter, 1999, 2003). There is an emerging literature on pluralism, and the

interdependence of strategizing and organizing which is especially relevant to public

service organizations. The research herein reported addresses the problem of how

theory and practice changed over the past 40 years and the identification of a theory-

practice gap.

The research reported in this thesis set out to identify the implementation of

strategizing within one large public sector organisation in the U.K. and to ascertain

which, if any, of the many implementation theories were applied in practice, and the

implications of the tensions between strategizing and organizing. The herein

reported research specifically took the perspective of middle management. Middle

management is seen to comprise managers below top managers and above first-level

supervision (Dutton and Ashford 1993; Uyterhoven 1972). Middle management’s

uniqueness is not their location in the hierarchy but their function as mediators

between the organization’s strategy and day-to-day operations (Nonaka 1994) It is

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middle managers who had to balance the concerns of senior managers and politicians

whilst delivering services to the client (McKevitt and Lawton 1996).

This research programme was carried out in one UK public sector organization, a

Local Government Authority (“LGA”) that had an annual expenditure of €600

million. The research study looked in depth at a service area within this organization

that covered several different types of services through separate departments. Its

annual expenditure was approximately €50 million. The organization requested that

its expenditure be expressed in Euros to enhance its anonymity.

The researcher had supervised a participatory action research programme that

crossed departments within this Local Government Authority (LGA) and several

functions within the National Health Service. Subsequently, the LGA invited the

researcher to supervise a Participatory Action Research (PAR) programme that was

to establish strategy outcome goals to ensure implementation. It was agreed that this

research would use the early stages of the PAR to capture data for the research

programme reported in this thesis. This research set out to understand and describe

strategizing within a major public sector organization, an LGA from the perspective

of middle management.

A subsidiary research aim was to understand better how local government is so

radically different following New Public Management (Aucoin 1990; Dawson and

Dargie 1999), typically summarized as the managerial state (Barrett 2004) or neo-

Tayloristic state (Pollitt et al. 1990), the contract state (Stewart 1993),

entrepreneurial government (Osborne and Gaebler 1992), and the headless chicken

state or gridlocked contract state (Hood 1995). Unlike other countries, the public

sector reform in the UK, New Public Management, was influenced by agency theory

(Stewart 2004). In the USA, public sector strategy was much closer aligned to

private sector strategy (Bryson 1995; Moore 1995).

In the UK, performance targets were handed down to agencies, meaning that

‘strategy’ was no more than a change management tool (Stewart 2004). So, whilst

managers were expected to come up with creative, innovative and better ways of

achieving the results, they were unable to employ strategy – purpose, policies,

programmes, actions, decisions or resource allocations (Bryson 1995). The New

Public Management agenda was seen to lead to an increase of policy centralisation

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combined with quasi-markets and contracting out (Barrett 2004). Further, it was

seen to reinforce the separation of politics (policy and strategy formulation) and

administration (policy and strategy implementation), and to increase the distance

separating politics and administration (Barrett 2004). Barrett also alleged that it

suppressed dissent and policy challenge.

Research problem and research question

There was a lack of in-depth empirical studies of strategizing practices within local

government. Political changes were known to be changing the context, as discussed

above. This research addressed this empirical gap by identifying the strategizing

processes carried out by this LGA in comparison to the published literature to reveal

practice-theory gaps. The research problem was not merely a `problem-solving' one

but `tested out' the limits of previously proposed generalisations (Phillips & Pugh

1987, p. 45).

The research question is:

How does government strategize locally from a middle management perspective?

The broad area of interest here is strategizing within the public sector; the area of

decision-making is middle management within a local government authority, over a

time period of two years. This case study used participatory action research methods

for data collection, in-depth interviewing, and document and archive analysis.

Justification for the research

During the review of extant literature, three main gaps were identified. There was a

lack of contemporary empirical research of the strategizing processes (Mellahi and

Sminia 2009). There were gaps in published research from the middle management

perspective, as a unit of study (Wooldridge et al. 2008). Methodologically, there

was a lack of participatory approaches (Balogun et al. 2003). The research reported

in this thesis addresses some of these gaps.

Many authors have asked why research in strategy implementation has diminished

and called for a revival (Barrett, 2004; DeLeon, 1999; DeLeon & DeLeon, 2002;

Lester & Goggin, 1998; Schneider, 1999; Schofield, 2001; Schofield & Sausman,

2004; S. Winter, 1999, 2003). Some have argued that implementation studies are

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still being carried out but are called by alternative names (O'Toole 2000). Certainly,

this may be true for the USA, if not the UK. Examples are institutional analysis

(Ostrom 1999), governance (Stoker 1991; Stone 1989) and network analysis (Kikert

et al. 1997; Rhodes 1997). The research herein reported looked at the current state

of strategy implementation in a local government authority.

The use of participatory action research within the strategizing field was still novel.

The majority of publications appeared to demonstrate the positivist approach to

research (Balogun et al. 2003) in which the observer is independent of what is being

observed (Easterby-Smith et al. 1995). The explanation and justification for the

participative action research strategy herein reported is outlined in the methodology

chapter of the thesis. This research resulted in the implementation of strategic

objectives for individuals, functions and departments that aligned to regional,

national and UK government strategic objectives. The value of this research to the

organization is reflected in the fact that subsequent to the completion of this

participatory action research programme, an audit on behalf of the Welsh

government recommended that a similar ‘line-of-sight’ approach to strategic

objectives should be implemented across the organization.

Outline of this thesis

Each of the subsequent chapters are briefly described in this section of the thesis.

Overview Chapter Two – Literature Review

This chapter reviews the emerging literature on pluralism, and the interdependence

of strategizing and organizing. After defining strategizing and organizing, and

explaining the differences between public services policy and strategy, the two

perspectives of the pluralism under study (pluralistic strategizing tensions and

pluralistic organizing tensions) are reviewed. The interdependence between

organizing and strategizing throw up three problems. They are that pluralistic

organizing has unintended strategizing implications; pluralistic strategizing pressures

strain organizing capacity and, protracted tensions between organizing and

strategizing. The pluralistic organizing pressures are revealed to have unintended

strategizing implications. There follows a discussion upon the rational analytical

approach and the emergent approach to strategizing. The pluralistic organizing

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pressures will probably result in unintended, emergent strategy. The converse is also

possible – pluralistic strategizing pressures strain organizing capacity. So, where

there are many external stakeholders making multiple demands for different strategic

objectives, the organization’s capacity to deliver all of these different, and possibly

conflicting objectives, could overwhelm an organization’s resource capacity. From

this discussion on pluralistic, external strategizing pressures come Agency Theory

and the implementation of public services policy. Again, but this time from the

organizing perspective, the rational analytical and emergent approaches are

discussed. The third problem was protracted tensions. This continual friction

between organizing and strategizing means that the organization is in a state of

continuous change. This stimulates a discussion on Complexity Theory and

Institutional Theory. From the framework developed by Jarzabkowski and Fenton

(2006), the three key principles tie back to this state of continuous change. Their

conclusion is that pluralism caused by multiple internal interests and identities and

by multiple external demands of different stakeholders is highly, and increasingly,

relevant for many organizations. Organizations are complex plural entities in which

a single vision or stable organization focus may be unlikely (Jarzabkowski and

Fenton, 2006). They go on to state:

Simarly, research needs to shift from the current dominant perspectives on strategy and organizations as largely coherent and reified states to embracing more socially dynamic and pluralistic views of the firm and its activities (Jarzabkowski and Fenton, 2006: 647)

This gap in the research literature will be addressed by the research study reported

herein. The pluralistic perspective towards strategizing and organizing is taken when

answering the research question: How does government strategize locally from a

middle management perspective. Empirical confirmation will be sought of the above

discussion upon external strategizing pluralism and internal organizing pluralism as

well as the way the two tensions are balanced by management in the research site.

The study will look at the choice, compromise or balance between the different

strategizing and organizing practices (rational analytical, emergent or complex

adaptive system).

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In the Strategy-as-Practice literature (Jarzabkowski and Spee 2009), the importance

of developing practice-based links between micro and macro-phenomena is

highlighted. Empirical, practice-based research is still relatively novel as the

practice-turn originated only in the past decade and the nature of the research

necessitates significant investment of time. There is a research gap when it comes to

considering strategy practitioners as not just individuals but classes of practitioners

and also the concept of extra-organizational actors as strategy practitioners. There

appear to be gaps in the study of institutionalised strategy practices and the ways in

which they constitute a profession of strategy. There is a call to draw upon theories

from fields such as sociology and critical theory (Jarzabkowski and Spee 2009) and

there is a lack of research studies upon outcomes and what strategists do that impact

those outcomes. A review of the process research approach to strategizing (Sminia

2009) identifies a gap addressed by this research programme. A move is required

from basic description to a form of normative prescription – having understood how

a strategy is realized, explain how to realize a successful strategy.

The next chapter outlines the methodology adopted to research these gaps identified

by the review of literature above. The research herein reported adds to the empirical

studies from the perspective of the new practice-turn, strategy-as-practice

perspective (Jarzabkowski and Spee 2009). It takes middle management as its unit

of analysis for which there has been a dearth of empirical study (Wooldridge et al.

2008). The next chapter describes how the research is accomplished from the

methodological frontiers using participative action research (Balogun et al. 2003).

The research programme reported herein took up these challenges from the literature

review and sought to fill these identified gaps in empirical research.

Overview Chapter Three - Methodology

This chapter works its way from a statement upon the researcher’s philosophical

commitments, through the choice of research style, the purpose of the research, the

research strategy and the research type. The researcher’s philosophical commitment

is phenomenology. The research style is qualitative and the purpose is exploratory.

The research strategy is a case study and the research type is action research.

The management of the research site requested a participatory action research

approach to aid their learning. Participatory action research can be understood as a Page 20


variant of a case study and a field experiment (Galliers 1992). The case study

methodology is suitable as it is possible for a single case study or a limited number

of case studies to identify general properties (Baskerville 1996; Berg et al. 1995;

Fleck 1979; Galliers 1994; Gummesson 1991). Participatory action research is an

appropriate method for generating theory (Glasser and Strauss 1967; Kjellen and

Soderman 1980) while expanding scientific knowledge (Baskerville 1999).

Participatory action research permits intervention by the researcher into the events.

Participatory action research represents a highly unstructured field experiment

(Galliers 1992). The participatory action research methods evolved from the view

that research should lead to change and therefore change should be an integral part of

the research process itself (Easterby-Smith et al. 1995). Participatory action research

stresses the importance of collaboration between the researched and the researcher

(Baskerville and Myers 2004) so that a shared understanding develops (Reason and

Rowan 1981).

Five individual interviews are carried out with the members of the senior

management team. Each interview lasts, on average, about 90 minutes. Open-ended

questions are used, which are a consistent set of prompts to which participants can

respond in detail (Giola and Thomas 1996). Subsequently, group interviews are

conducted with the teams that report directly to each of these senior managers.

Action research projects are then carried out with three teams of middle managers

from different service departments. The research unit of analysis is the middle

management in this service area.

The case study results are presented to the senior management of the service area

(primary unit of focus) to check for any omissions and factual accuracies, therefore

providing internal validation of the findings (Miles and Hubermann 1994).

Documentary data are collected, including archived documents. Typically, the data

sources include emails, instructions, reports and publications. Secondary data,

including UK and Welsh government policy documents and government-initiated

inquiries and reports are accessed. All of this documentation is used to triangulate

the data collected from the participatory action research teams. As per the study

protocol, care is taken at each stage of the data collection and analysis to ensure

triangulation of data, in recognition of the possibility of researcher and informant

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bias. Triangulation helps to assemble a more complete and accurate picture of

practices through converging sources of evidence (Eisenhardt 1989b); (Jick 1979),

(Yin 1994). These multiple sources are designed to counteract any potential bias as

a result of relying upon a single source of data (Denzin 1989; Eisenhardt 1989b),

especially where retrospective analysis is concerned (Golden 1992).

The participatory action research cycle of planning, acting, observing and reflecting

is not often as neat or progressive as suggested. Each phase may cycle back and

forth through these steps and the conclusions may be that the next phase may need to

address a different problem with different participants using a different research

approach. It does not matter if the participants have faithfully followed the steps or

not. The success criterion is whether the participants have a sense of development in

their practices, their understandings of their practices and the contexts of their

practice (Kemmis and McTaggart 2000). The action research framework chosen for

this research method are six questions (Friedman 2006).

The development of a protocol for the investigation is a critical step before data is

collected (Yin 1994). Yin developed the protocol as a way of dealing with the

problems of reliability. This protocol contains the instrument as well as the

procedures and general rules. It summarises the field procedures and the steps to

obtain informed consent of all the participants. Informed consent is obtained before

each interview.

Overview Chapter Four – Findings from the Action Research

programme

The findings from the participatory action research cycles indicate that the

community strategy action plan may have made more transparent the influence of

pressure groups but it still unquestionably imposed a top-down implementation

across the community. The gap, disclosed by the findings between the

policy/strategy documents and implementation in the field by the professionals,

demonstrates that professional discretion is missing from the documents. The

extensive external pluralism of the multitude of stakeholders, the diverse strategic

objectives, and the internal pluralism amongst the numerous different professions

and professionals, as well as middle and senior management, confirm that the LGA

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is part of a complex system, specifically a complex adaptive system of autonomous

agents (humans) continuously adapting to interdependent events and their evolving

environment. The next chapter, entitled discussion on practice-theory gap, takes

forward these points based upon the findings and argues for the exploration of

alternative strategizing approaches and organizational models.

Overview Chapter Five – Discussion on Practice-Theory Gap

In chapter five, the findings are discussed in greater detail and compared to the

literature to identify the strategizing practice-theory gap. The findings are that there

is external strategizing pluralism and internal organizing pluralism. The strategy is

set by numerous external stakeholders and the implementation is organized by

numerous internal stakeholders. This empirical research confirms the literature

(Jarzabkowski and Fenton 2006). Additionally, there is evidence of pluralistic

organizing having unintended strategizing implications. The object of the research

site is an organization that was originally established as a local government

authority. It was found that the organization is structured as an authority, structured

for regulation, command and control. However, the findings also show that many

services being provided by the local government authority were for care and well-

being and not regulation and control. The findings disconfirm the literature as the

organization was structured to deliver a single service typology (regulation and

control). Evidence was also found of what American academic literature has called

‘street-level bureaucrats’ – service providers who use their own discretion when

interpreting the implementation of policy. The empirical findings here confirm the

published literature on research in the USA.

Definitions

Middle Management

Middle management is seen to comprise managers below top managers and above

first-level supervision (Dutton and Ashford 1993; Uyterhoven 1972). Middle

management’s uniqueness is not their location in the hierarchy but their function as

mediators between the organization’s strategy and day-to-day operations (Nonaka

1994).

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Organizing

‘...organizing can be defined as the creation and use of structural practices and coordination processes by internal stakeholders to enact the organization’s identity, culture and interests’ (Jarzabkowski and Fenton, 2006: 632)

Practice-theory gap

The practice-theory gap is between theory (espoused theory) and practice (theories in

use), (Kemmis and McTaggart 2000).

Professional

Workers who possessed professional qualifications - they were “professionals”

(Lipsky 1980).

Strategizing

‘Strategizing refers to those planning, resource allocation, monitoring and control practices and processes through which strategy is enacted’ (Jarzabkowski and Fenton, 2006: 632)

Delimitations of scope

This research focused upon the public sector only, specifically a local government

authority. The geographical location of the LGA was Wales. This LGA therefore

was a constituent part of the devolved UK government. The unit of analysis chosen

was middle management. The research data covered the period 1999-2005. This

case study used participatory action research methods for data collection, in-depth

interviewing, and document and archive analysis.

Conclusion

This introduction chapter laid the foundations for the thesis. It introduced the

research question and its context. The research was justified and the definition of

“strategizing” was presented. The methodology was summarized and justified. The

thesis structure was outlined and some of the limitations were noted. On these

foundations, this thesis proceeds with a detailed description of the research

programme and its outcomes.Page 24


2. LITERATURE REVIEW

Strategy within a Pluralistic Context, Public Service Delivery and Community Voice

Introduction

The literature review developed throughout the research process as new patterns and

relationships emerged from the data, as that data was collected and analysed. In

addition to published literature about strategy formulation in public services, the

precise nature of the participants in the strategy decision-making process and the

democratization of the strategy process were also uncovered. The drivers and

constrainers of strategy and change also were addressed.

This chapters starts with summary definitions of strategizing and organizing,

followed by the differences between public services policy and strategy, in the UK.

There then follows a discussion drawn from the literature upon the pluralistic context

of an organization, especially the local government authority. From a strategizing

perspective, there are many different external stakeholder groups within the

geographical boundaries of the local government authority and each has their own

objectives, aspirations and expectations. But equally, within the organization there

are many levels of management, communities of different professional staff and

administrative staff. Again, each one of these internal stakeholders has their own

objectives. This discussion upon the literature looks at this external strategizing

pluralism and the internal organizing pluralism plus the protracted tensions between

the two.

The internal organizing pluralism causes tension between the traditional top-down

approach to strategy and emergent strategy, often implemented by employees

delivering the service. Pluralistic organizing pressures have unintended strategizing

implications. The external strategizing pluralism causes tension. This tension

reflects the public service delivery method and the voice of the local government

authority’s constituents and rationales for constituents’ participation in decision-

making. Pluralistic strategizing pressures strain organizing capacity.

Page 25


The protracted tension between internal organizing pluralism and external

strategizing pluralism results in continuous organizational friction. This is caused by

the continuous need to flex, adjust and change between both internal and external

communities of interest as they negotiate and adjust their positions towards each

community and their strategic objectives. This places additional requirements upon

the organization as it must be able to continuously evolve strategy and the

organization to deliver it.

The structure of this chapter as described above is shown in Figure 1.

Figure 1: Structure of Literature Review (Developed for the purpose of this thesis)

The figure of the literature review’s structure shows the opening topics leading to the

discussion on pluralism. The interdependence between organizing and strategizing

results in three key problems which form the core of this literature review. First,

pluralistic organizing has unintended strategizing implications. With policy

developed and directed from the top in a rational and analytical way, employees

implementing the public service (“street-level bureaucrats”) may use their initiative

and flex the actual delivery to more closely meet the needs of the specific recipients.

Effectively, this bottom-up approach to strategy implementation results in strategy

that emerges from the implementation.

The second problem is pluralistic strategizing pressures strain organizing capacity.

The strategizing process may attempt to take into account the expectations and

aspirations of a broad range of stakeholders and local government constituents.

Strategic objectives may be negotiated with key, and more influential and powerful Page 26


stakeholders. The resulting strategic objectives may, or may not be those held by the

public service recipients or those members of staff delivering that service. A key

area of literature here is Agency Theory and public services policy implementation.

The third problem to come out of the interdependence between organizing and

strategizing is the protracted tensions between organizing and strategizing. This

discussion of the literature around continuous change leads to Complexity Theory

and the stabilizing effect of Institutional Theory. These theories link to the

pluralistic framework proposed by Jarzabkowski and Fenton (2006). This chapter on

the review of literature starts next with the key definitions of strategizing and

organizing and the following section discusses the differences between public

services policy and strategy in the UK and modernization.

Definitions

Definitions and explanations of terms used will be incorporated throughout this

document as they are used. However, some terms are core to this research study and

this review of the literature. Those terms are defined here. The literature on

pluralism uses these terms continuously and so this opportunity is taken to settle

upon and set down here a consistent ‘suite’ of definitions.

Strategizing


Organizing


Differences between public services policy and strategy in the

UK, and modernization

Page 27


Traditionally, there was a split between public services policy and implementation in

the UK public sector. Politics was deciding what to do and getting it done, policy

was the decision about what to do, and administration was getting it done (Baker

1972). However, the service delivered was the result of many individual decisions

by professional public sector service providers, not politicians or administrators

(Llewellyn and Tappin 2003). Workers who interacted directly with the public

possessed professional qualifications - they were “professionals” (Lipsky 1980).

Politicians did not want responsibility without control. Therefore, administrators

were replaced by managers and policies by strategy as part of the managerial agenda

in the UK during the 1990s (Llewellyn and Tappin 2003).

Prior to strategy and strategic management in the public sector, professionals or

functional specialists developed ‘shopping lists’ (Langley 1986). These lists made

no discrimination between, or elimination of, alternatives, resulting in a lack of clear

focus for future direction and action. As professional service providers, they

matched service provision to resources available (Champagne et al. 1997; Hardy et

al. 1983; Llewellyn 2001; Mintzberg 1979, 1989; Mintzberg and Waters 1985).

Effectively, this custodial resource management promoted conformity, reliability and

basic standards of service (Ackroyd et al. 1989), facilitating the development of

inward-looking bureaucracies resistant to change (Quinn et al. 1996). Even if the

individual professionals in public services had their own 'strategies', overall, public

sector organizations remained remarkably stable (Mintzberg, 1994, p. 406).

Modernization

In the last twenty years of the twentieth century, the management of public service

organizations was subjected to a radical change process (Horton 2003). The

management was being transformed from bureaucratic public administration to one

that was market-oriented and results-driven. Variations may be seen across Europe

but clear trends were apparent (Kickert 1997; Pollit 2001, 2002). During the 1990s,

a number of initiatives were taken to introduce New Public Management (“NPM”) in

attempts to tackle issues of cost, outcome, configuration and governance at the local,

national and European levels (Rhodes and MacKechnie 2003). The initiatives have

increased the complexity of public services. Public services are now delivered by

public, private and non-profit organizations in partnership or even in conflict

Page 28


(Rhodes and MacKechnie 2003). The success of these various initiatives has been

mixed (Dunshire et al. 1994; Hood 2000; Kay 2002; Mackintosh 1998). As one

indicator of performance from the introduction of modernization, Rhodes and

MacKechnie point out OECD figures that show taxes and government outlays as a

proportion of GDP in the EU are about the same in 2002 as 1987 but government

debt has soared from 37 to 49 percent over the same time period (Rhodes and

MacKechnie 2003).

NPM has been typically summarized (Barrett 2004) as the managerial state or neo-

Tayloristic state (Pollitt et al. 1990), the contract state (Stewart 1993),

entrepreneurial government (Osborne and Gaebler 1992), the headless chicken state

or gridlocked contract state (Hood 1995). NPM had dominated public sector reform

in many OECD countries. NPM required the public sector organization to refocus

(Ryan 1997) from “process towards purpose, reorganise their structures around

programmes and strategy, adopt the financial and human resources management

approaches of the private sector, and the de-bureaucratised forms of organisation

emerging there” (p. 158). The new management role was seen to be (Clarke and

Newman 1993) “visions, missions, leadership by example, intensive communication

processes and thorough attention to the realm of symbols (as a way to create) the

mechanisms for creating the cultural conditions which mobilize and harness

enterprising energy” (p.430).

Unlike other countries, NPM was influenced by agency theory (Stewart 2004) which

posits that the resulting bureaucratic strategy is something to be constrained not

encouraged. In the USA, public sector strategy was more closely aligned to that of

the private sector (Bryson 1995; Moore 1995). In the UK, performance targets were

handed down to agencies meaning that ‘strategy’ was no more than a change

management tool (Stewart 2004).

So, whilst managers were expected to provide creative, innovative and improved

ways of achieving the results, they were unable to employ strategy – purpose,

policies, programmes, actions, decisions or resource allocations (Bryson 1995). The

NPM increase in policy centralisation combined with quasi-markets and contracting

out reinforced the separation of politics (policy and strategy formulation) and

administration (policy and strategy implementation) Furthermore, it increased the

Page 29


distance separating formulation and implementation (Barrett 2004). Barrett also

suggested that NPM suppressed dissent and policy challenge. However, the major

cultural change in the UK was the change of the state from a provider to enabler.

The aforementioned shifts suggest that managerialism would have been towards the

top of the list of issues and challenges faced within the public sector. The public

sector had been encouraged to adopt a results-oriented approach similar to that of the

private sector (Gramberg and Teicher 2000). The implication was that certain core

management functions were applicable across both the private and public sectors

(Lawler and Hearn 1995). The scope of managerialism was defined (Gramberg and

Teicher 2000) as the predominance of the management role where values of

leadership, entrepreneurialism, strategy development and focus upon outputs “are

practiced within a framework of explicit goals and constraints set by government

which form the contractual obligations of the new public management” (p. 478).

The managers were free to develop corporate plans which identified specific

objectives, targets, incentives and constraints in the pursuit of efficiency and

effectiveness (Painter 1998).

After the election victory of New Labour in the UK in 1997, two drivers were central

to government policy: citizen participation and efficiency of public service delivery

(Coaffee and Johnston 2005). The approach adopted was part of a political concept

called ‘the third way’. It was a programme for permanent revisionism that involved

the development of a strong civil society and active government (Blair 1998). The

third way emerged within numerous complex, inter-linked policies that reshaped the

relationships between national and local government, and between local government

and its communities (Coaffee 2004; Johnston 2004), resulting in a shift from local

government service provider to enabler. Instead of being self-sufficient and

providing all services themselves, local authorities were to facilitate and co-opt other

organisations, including those from the private sector, to deliver services on their

behalf (Wilson and Game 2002). Local government has been required to develop a

more flexible, enabling approach reflecting pragmatism, accountability and

transparency, with wider consultation with citizens (Coaffee and Johnston 2005).

This means a bottom-up approach instead of a top-down approach. However, local

authorities have been left on their own to work out how to implement this complex

task (Merchant 2003).Page 30


This New Localism approach (Raysford 2004) is dependent upon the local authority

trusting localities not to misuse the opportunities. Previously in the UK, there had

been a tendency for national government to prescribe policy to localities (Johnston

and Coaffee 2004). New localism has made several fundamental changes to the

practices of local government. Strategy has been devolved. Community voice has

been enhanced and communities empowered with decision-making processes. Local

authorities are community leaders rather than service providers, and are now able to

decentralise service delivery to the sub-local level and give local communities a

voice in decisions through area committees (Coaffee and Johnston 2005). The Local

Government Act (2000) enabled and empowered area committees with limited

power and responsibility from the local authority executive to refine local service

delivery. This shift was part of the transformation to community-led governance

(Coaffee and Healey 2003; Taylor and Gaster 2001).

Neighbourhoods are now the centre of attention for citizen engagement and

improved accountability (Pratchett 2004). Neighbourhoods and city-regions

combine strategic capacity with local decision-making (Stoker 2005).

Neighbourhoods enable individuals and communities to exercise greater choice,

voice, and control over public services (ODPM 2006). The key problem facing local

government, and governance, is how to involve staff and marginalised communities

(Maddock 2002) and then how to resolve the huge professional and cultural gulfs

between stakeholders, especially between public services staff and policy makers.

The research herein reported looks at the involvement of staff and communities in

the strategizing process and identifies any gap between public services staff and

policy makers.

The above has reviewed literature that sets the context for the local government

authority research site. The tensions outlined above, including stakeholders,

centralisation and localisation are developed in the next section from the perspective

of the pluralism literature.

Pluralism

The notion of organizations as pluralistic entities within pluralistic contexts has

gained significant research agenda interest (Denis et al. 2001; Jarzabkowski and

Fenton 2006; Van de Ven 2004). Pluralistic contexts and organizations are those

Page 31


shaped by divergent goals and interests of different groups both internal and external

to the organization (Jarzabkowski and Fenton 2006). Traditionally, much strategy

theory has been based upon the concept of the organization establishing a strategic

focus (Barney 1991; Hamel and Prahalad 1990; Porter 1985) which will not explain

strategic focus fragmented in a pluralistic context by competing internal and external

groups (Glynn et al. 2000a). Within pluralistic organizations, such as local

government, there are separate administrative, managerial and professional cultures

which in turn may contain subcultures and identities (Blackler et al. 2000;

Jarzabkowski and Fenton 2006). Pluralism is exhibited in the tension between

professional and managerial cultures and interests which lead to multiple organizing

processes. Local professionals work to fit local requirements not generic,

organization-wide initiatives. In addition to this internal pluralistic tension, there is

external pluralism caused by the divergent interests of external stakeholders that

result in multiple strategic goals and objectives. These pluralistic tensions are

caused by a wide set of internal and external stakeholders.

Pluralistic tensions impact upon strategizing in the public services sector with

seemingly conflicting pressures of commercially-oriented performance versus the

professional role in society and the quality of the public service provided (Satow

1975). Internal, pluralistic organizing pressures can lead to strategies that are

counter to the organization’s overarching objectives. This is especially likely in

organizations with diverse professionally-based knowledge workers with interests

that may be antithetical to those of their management (Jarzabkowski and Fenton

2006). In addition, external pluralistic tensions are typical in organizations that have

multiple stakeholders in the economic, political and social domains, such as a local

government authority.

Local governments experience external pluralistic tension when trying to provide a

quality service but at best value, maximizing resource efficiencies whilst under

increasing pressure to adopt a more commercial orientation. The external

strategizing and the internal organizing pluralities could result in multiple,

ambiguous and contradictory strategic objectives and goals being implemented

across diverse contexts, groups and organizational boundaries (Jarzabkowski and

Fenton, 2006).

Page 32


Pluralistic organizing pressures have unintended strategizing

implications

Strategies may emerge from implementation that are not in-line with the

organizations key strategic objectives due to the tensions that arise from pluralistic

organizing as a result of diverse, or even divergent, cultures and interests

(Jarzabkowski and Fenton, 2006). These tensions build where knowledge workers

from diverse professional backgrounds, identities and interests very different from

those of the local government authority’s leadership or politicians. These tensions

could be reflected throughout an organization providing a wide range of public

services. These tensions would place pressure on the authority’s ability to

implement a coherent strategy and may lead unintentionally to emergent strategy.

This emergent strategy may be the result of the adjustments to the nature of the

service delivered on the frontline by the service deliverer. Or, the way the service is

delivered may be flexed or changed by the deliverer, using their own discretion to

more closely meet the needs of the recipient. The result is the implementation of an

emergent strategy not that propounded by the corporate body. Emergent strategy can

result in not a single strategic objective but multiple strategic objectives.

At this stage it is important to state which approach is being taken to review the

strategizing perspectives. The framework chosen to understand the different strategy

perspectives is that of Johnson, Scholes and Whittington (2008). This is a core

strategy text used by many business schools and is the highest selling strategy text in

Europe. More importantly from the perspective of this review and research study,

they have developed their strategy lenses based upon philosophical positions

(positivist, interpretive/constructivist, critical theory and complexity theories).

These research philosophies are discussed in the next chapter on research

methodology in specific relation to this research study. In order to keep this

coherence between the literature review and research methodology, this framework

of strategy lenses (Johnson, Scholes and Whittington, 2008) will be adopted and is

shown in the next table. From the table, it can be seen that the different approaches,

such as rational analytical and emergent approaches to strategy, reflect the

Page 33


underlying philosophical commitments of the participants, labelled in the table as

Research Philosophy.

Table 1: Strategy framework or lenses (adapted from Johnson, Scholes and

Whittington, 2008)

Lenses Approach Theories Research Philosophy

Design Rational,

analytical

Industrial

Organizational

Economics

Positivist

Experience Emergent Institutional Theory Interpretivist/constructivist

Ideas Disruptive,

radical change

Complexity Theory Complexity Theory

Discourse Power and

emancipation

Critical Theory Critical Theory

Having outlined above how unintended strategizing may be caused by pluralistic

organizing pressures, the discussion looks at these key issues in more detail. The

tensions between the ‘corporate’ governance of the organizations leaders,

stakeholders and frontline staff delivering the public services are now explored.

Implementation theory (Pressman and Wildavsky 1973) – the who, how and why

policy is put in to effect - transcends the traditional dichotomy of politics and

administration (Schofield 2001; Schofield and Sausman 2004). This review of the

published literature on public policy implementation divides into three types:

analytical models, different approaches (top-down or bottom-up), and key

implementation variables. The analytic models follow three chronological

generations (Goggin et al. 1990). The first generation, reflects an objectivist or

positivist position of policy makers using rational, linear models within their

environment. The second generation sought typologies for predicting policy

outcomes and concentrated upon the variables that impact upon implementation.

These two generations were both developing the rational analytical approach. The

Page 34


third generation claim a synthesis that reflects the dynamic nature of implementation

(Schofield 2001), a more emergent approach. These differences can be summarized

as the rational analytic approach (“strategic planning”) and strategic emergence. In

relatively stable and predictable industries, larger firms were seen to be inclined to

plan while the adaptive, emergent approach applied more to firms in dynamic

industries (Mintzberg 1973b). The rational analytical approach is reviewed first.

The rational analytical approach to strategizing

The rational analytical approach, strategic planning, provided strategic direction

(Schendel and Hofer 1979). Strategy is based upon a formulation of comprehensive

analysis of a firm’s environment (Anthony 1965; Hofer and Schendel 1978; Porter

1980b). The analytical activities consider various competitive and organizational

insights and the organization’s strategic position is rationally determined (Porter

1996). This form of strategic planning is a central function with strategic issues

considered from the organization-level and therefore by the senior management team

(Andersen 2004).

The early research sought to describe the implementation process (Derthick 1972;

Murphy 1971; Pressman and Wildavsky 1973). This generation of studies saw

implementation failure as a function of imperfect primary legislation and a failure of

bureaucratic compliance (Sarbaugh-Thompson and Zald 1979). Often,

implementation was seen as two or more parties in opposition because they both

thought they were doing the right thing (Allison 1971).

This earlier research was followed by programmes that were more analytical

(Schofield 2001). They developed typologies and variables (Barrett and Fudge

1981; Mazmanian and Sabatier 1983) that have been categorized as policy,

organization and people (Goggin et al. 1990). Many studies in this generation

assumed a command and control, or top-down approach to strategizing (DeLeon and

DeLeon 2002). They developed rational, logical models described below, with some

misplaced precision (DeLeon 1999; Matland 1995; Meier and McFarlane 1995).

The top-down approach to strategy implementation followed the bureaucratic

separation of policy from implementation, co-ordination and control through

hierarchy and authority (Barrett 2004). The research approach to top-down

implementation studies was to identify the causes of problems or failures and Page 35


propose ways to increase compliance with policy objectives, mainly through

improved communication, co-ordination of the implementation delivery chain,

management of resources and control of implementation agents (Barrett 2004). It

assumed a linear progression from policy setting to implementation. Top-down

models did not cater for the messiness of policy-making, behavioural complexity,

goal ambiguity and contradiction (Schofield 2001). They lacked both micro and

macro political reality (Baier et al. 1986; Berman 1978). A command and control

organizational approach failed to capture the hearts and minds of the middle level

managers who were required to deliver the service (McKevitt and Lawton 1996).

Emergent and street-level bureaucrats approach to strategizing

This section discusses research initiatives, concurrent to the top-down studies

reported above, that looked at the bottom-up approach to strategizing. Importantly,

the top-down models failed to take in to consideration the discretionary action of the

client-facing implementer, or “street-level bureaucrat” (Hjern 1982; Hjern and Hull

1982; Lipsky 1971, 1980; Prottas 1979) and the street-level bureaucrats role of

interpreters of central policy (Thompson 1982). These lower-level bureaucrats had

considerable discretion and ranges of interpretation in how policy affected the

citizens with whom they had contact (Schofield 2001). Many of these workers who

interacted directly with the public possessed professional qualifications - they were

“professionals” (Lipsky 1980). During implementation of policy, these professionals

were likely to face dilemmas of work autonomy, responsibility to clients, and a duty

to implement policy as directed (Hill 1993). There was disagreement as to whether

this local discretion by the professional was necessary and desirable (Barrett and Hill

1984; Van Meter and Van Horn 1975) or anti-democratic and evidence of inadequate

top-down control leading to the subversion of policy (Linder and Peters 1987;

Mazmanian and Sabatier 1983). It has been argued that public bodies must be

prescriptive about the use of discretion in policy implementation to counter-act the

influence of the professional, personal and moral codes of the individual street-level

bureaucrats (Burke 1987).

This local interpretation of policy implementation could be conceived as adaptive

implementation (Mintzberg 1973b). Adaptive implementation was beneficial where

social policy was ambiguous or experimental (Maynard-Moody et al. 1990). The

Page 36


bottom-up approach recognised that policy formulation and implementation were not

separate, independent functions (Milwood 1980). The role of street-level

bureaucracy was considered always to be important, probably more so for final

policy outcome than central policy-making (Sabatier 1991).

The ‘bottom-up’ term was seen to be misleading as this grouping included those who

considered implementation as part of the policy-making process in which policy

evolved or modified in the implementation process, as well as new methods for

implementation and evaluation (Schofield 2001). The bottom-up researchers

focused upon the local implementers and not central government and were

concerned with the motives and actions of actors (Schofield 2001). Context was as

important as the policy because implementation was when macro (central policy)

and micro (institutions, the public, the problem) interacted (Berman 1978).

However, there were conflicting models proposed in the policy-action relationship.

Some focused upon consensus building, influence and persuasion, positive-sum

negotiation (collaborative value added to both parties) and learning. Others focussed

upon conflict and the exercise of power, zero-sum negotiations (“what I gain, you

lose”) and power bargaining (Barrett 2004).

The proponents of top-down and bottom-up differed on several different levels. The

top-down approach to empirical theory was that influential implementation variables

were controllable by the higher hierarchy (O'Toole 2004). The normative orientation

of the researchers was also different. The top-down implementers often supported a

representative regime with consistent execution of the political leader’s choices.

Anything else was the hijacking of democracy (O'Toole 2004). The focus of the top-

down implementers was upon compliance and monitoring. These normative

differences compare to the positivist/interpretivist split in scientific paradigms in

social science (Burrell and Morgan 1979), shown in the strategy frameworks table

above, and explained in detail in the research methodology chapter.

Conversely, the bottom-up implementers argued that the field variables or those of

the context were more important (O'Toole 2004) than those variables within the

control of the top echelons of the hierarchy. The top-down normative stance was

rejected by the bottom-up implementers in favour of the emergence of meaningful

policy by the discretionary choices of implementing actors far from the central

Page 37


control of political overlords (Hjern 1982; Hjern and Hull 1982). The bottom-up

implementers focused upon innovation, collaboration, and creativity, and not on

obedient compliance and monitoring. The bottom-up approach of participatory,

direct democracy followed a post-positivist, interpretive approach based upon

Habermas’ communicative rationality (Habermas 1987). This philosophical stance

is developed and explained in discussions in the research methodology chapter.

Advocates of the bottom-up approach called for a philosophical, normative, cultural

change from the top-down governing elite phenomenon to a more participatory,

democratic bottom-up orientation (DeLeon and DeLeon 2002). Street-level

discretion can be seen as another democratic check-and-balance against the abuse of

power (Ferman 1990).

This earlier research on bottom-up emergent strategy has been criticised for too

many case studies and not enough validation and replication (Goggin et al. 1990).

Others have criticised a lack of synthesis in implementation analysis (Matland 1995;

Ryan 1995). Alternative and subsequent research claimed to address these concerns

(Schofield 2001).

This alternative research (Berman 1980; Mazmanian and Sabatier 1983; Nakamura

and Smallwood 1980) used a wide range of approaches, many heavily influenced by

Goggin (Goggin et al. 1990). They developed a communication model based upon

the American structure of state, federal and local legislative levels. Others sought to

refine concepts of negotiation and learning (Barrett 2004), or synthesise the top-

down, bottom-up approaches, or focused upon the policy-action relationship (Goggin

et al. 1990; Palumbo and Calista 1990; Sabatier 1988). Giddens (1994) produced his

influential work on Structuration Theory where he argued that “institutionalised

structures shape action and behaviour, but which are themselves recreated and

reproduced by those actions and behaviours” p18, cited in (Johnson and Greenwood

2007). Many studies followed positivist approaches using theories such as game and

principal-agent theory (DeLeon and DeLeon 2002).

Others were developing a contingency theories approach (Ingram 1990; Matland

1995; Scheberle 1997). No single best way of implementation fitted all

circumstances. Different conditions might require different activities. These

aforementioned authors offered two-by-two matrices of different variables to show

Page 38


the different implementation strategies required under the different circumstances.

Those following a positivist approach to discovery still strived for a universal meta-

theory of implementation and hoped something would come out of a synthesis of

communications theory, regime theory, rational choice theory (i.e. game theory) and

contingency theories (Lester and Goggin 1998).

DeLeon and DeLeon (2002) made the argument against this search for a single

universal law of implementation. They argued that the top-down approach was

susceptible to hierarchical, over-optimistic expectations. The political elite were

advised and lobbied by select and narrowly-focused interest groups. These authors

maintained that the opposite, bottom-up approach more truly reflected communal

interests because the policy was proposed by the community that would be directly

affected. The community had a greater say on where, when, how and why they were

changing. The bottom-up approach was more democratically represented and this

agenda (DeLeon and DeLeon 2002) for a more democratic approach to policy

analysis was justified by reference to other authors in general (DeLeon 1997; Drzek

1999; Schneider and Ingram 1997) and more specifically on policy stages such as

evaluation (Fischer 1995), implementation (Fox 1990), and various other aspects

(Fischer 2000; Hill 2000; Lin 2000; Press 1994).

This era of research has developed the previous street-level bureaucrat into an

argument for more participatory, democratic governance, not least because

participatory democracy is imperative for popular support of the implementation

(Mansbridge 1980). Government had institutional command and control of the

distinctive and separate roles of the local government, the citizens and private

institutions. Governance, though, was seen to be a facilitating institution.

Governance facilitates communities of citizens and social organizations to produce

social goods and services (Meek et al. 2007). The more traditional top-down

approach was too far removed from the community concerned with the political elite

making decisions based upon surveys and focus groups (Schneider and Ingram

1997). When street-level bureaucrats and clients work together in co-dependence to

deliver the policy outcomes, the clients have considerable influence despite the

professional and civil service structures (Lipsky 1980).

Page 39


The tension between top-down directive control and bottom-up innovation has been

confronted and resolved within smaller authorities (Dereli 2003) and smaller Health

Action Zones (Maddock 2002). These smaller organizations have been able to

underpin strategy with community vision and consultation. Democratic governance

and public service delivery are developed further in the next section.

Pluralistic organizing pressures have unintended strategizing implications as

discussed in this section. Internal organizing pluralities result from the different

levels of management, the many professional and departmental cultures, subcultures

and identities. This review of the literature has identified two different approaches to

this problem. One approach is based upon the centralisation of control, with

decisions taken towards the top of the hierarchical organization in a rational

analytical approach to strategizing. The second approach is the emergent approach

to strategizing that recognises, or even encourages, local discretion of service

delivery by the service provider, or ‘street-level bureaucrat’. The opposite problem

of pluralistic strategizing pressures strain organizing capacity is discussed next.

Pluralistic strategizing pressures strain organizing capacity

Public service organizations often find themselves in an environment where the wide

range of stakeholders place multiple and sometimes contradictory demands upon the

organization (Jarzabkowski and Fenton, 2006). A local government authority has

key stakeholders in the political, economic, and social domains and these multiple

external stakeholders effectively cause pluralistic strategizing tensions. Pluralistic

tensions are caused by the need of the organization to implement multiple strategies,

as opposed to the pressure of internal pluralism from within the organization. The

pluralistic strategizing tensions place increasing pressure upon the organizing

capacity. This pressure upon the organizing capacity can result in organizing

processes and practices that were not intended. In turn, these unintended organizing

practices may prevent the successful implementation of multiple strategies. Even if

the organization is able to develop multiple organizing practices and processes to

meet the demands of implementing different strategies, it has a penalty of excessive

time-stress for the organization’s top managers (Jarzabkowski and Fenton, 2006).

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At this point, it is pertinent to review the role and impact of Agency Theory, and

then public services delivery methods upon pluralistic strategizing pressures

straining organizing capacity.

Agency Theory

Agency theory suggests that there is a relationship between parties where the

‘principal’ delegates responsibility to an ‘agent’ to take decisions on behalf of the

principal (Angwin 2007). Agency theory aimed to explain the potential conflicts

that occur with the separation of ownership (principal) and organizational control

(agent). It is based upon the assumption that humans are rational actors seeking to

maximise their individual benefit (Jensen and Meckling 1976). This assumption can

be traced back through 200 years of economic research. Agency theory has been

used widely across many disciplines (Angwin 2007; Eisenhardt 1989a), such as

accountancy (Demski and Feltham 1978); economics (Spence and Zeckhauser

1971); finance (Fama 1980); marketing (Basu et al. 1985); political science (Mitnick

1986); organizational behaviour (Eisenhardt 1985, 1988; Kosnik 1987) and

sociology (Eccles 1985; White 1985).

Agency Problem

Agency problems are the potential conflicts between the principal and their agent.

There are three types of agency problem (Angwin 2007). First, when the agent is

seen to be able to maximise his or her own benefits at the expense of the principal.

Second, there is seen to be a problem of how to control the agents so they act in an

appropriate manner. Third, it is considered that the principal and agent may have

different attitudes to risk sharing leading to different choices of action.

Organizations implement controls on agents to minimise agency problems (Angwin

2007).

Agency Theory explains the centralised, hierarchical, top-down approach to

organizing and strategizing. The alternative, bottom-up, emergent strategy organized

by devolved responsibility and authority to the local level is characterised by Human

Agency in the next section.

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Human Agency

Human agency is the acceptance that individuals can make a difference in the world

(Spender 2007). Events are not pre-determined and individuals have choices along

with responsibilities to others that may be affected by those choices. Human agency

is the meaningful choice of actions, activities, decisions and behaviours (Deacon and

Mann 1999). Human agency is the capacity of individuals and organization actors,

with their diverse cultural interpretations and understandings, to play an independent

role in causing history (McLaughlin and Dietz 2008). More specifically, human

agency is the capacity of individuals to project alternative future possibilities and

then make them happen within the context of current contingencies (Emirbayer and

Mische 1998).

Sociology often focuses on the constraints upon individual action whilst for the past

200 years, economics has been based upon the assumption of the individual as a

rational and free actor (van Krieken 1997). Sociologists have concentrated upon the

constraints of free choice by the structural obstacles that confront individuals, such

as labour market discrimination, educational disadvantage, spatial segregation, class

location, economic restructuring, unemployment, benefit traps and the requirements

of a patriarchal capitalist economy (van Krieken 1997).

There are three approaches to agency relevant to the public services sector (van

Krieken 1997). The first two are more reflective of agency theory but the third takes

up the call for human agency. The first approach assumes that individuals will act

rationally in pursuit of their self-interest, and focuses upon incentives to channel an

individual’s pursuit that promotes a common good. Sticks and carrots work (Murray

1984). This approach assumes what economists call universal ‘tastes’, or

sociologists call values, beliefs and interests (culture) are inherent in the decision-

making process. They are a given and not problematic (Wilson 1985).

The second approach challenges the above assumption of rationality and emphasises

the use of compulsion to control individual behaviour to promote social well being

(Mead 1992). Mead’s approach is that the argument for incentives is bankrupt

because it assumes that individuals are able and willing to pursue their own

economic self-interests. However, there is a significant proportion of society that is

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long-term unemployed and Mead believes that these individuals will require

compulsion to spur them in to work (Mead 1992).

The third approach turns to moral arguments to change values and beliefs and

persuade individuals to act in ways deemed best for the common good. This

approach is a radical change from the previous two which are seen to reflect the

polarity between the public and private sectors, and between individual and the state

(Deacon and Mann 1999). The new intellectual-political map is the relationship

between the individual and the community and between freedom and order (Etzioni

1997). It requires the balance of autonomy and order, individual rights and

communal obligations. This is communitarianism, the search for a way to blend

traditional elements (order based on virtues) with modern elements (protected

autonomy) (Etzioni 1997).

Etzioni’s ‘new golden rule’ was a ‘mantra’ to sustain equilibrium between individual

rights and the common good (“respect and uphold society’s moral order as you

would have society respect and uphold your autonomy” p. xviii). This approach is

based upon the assumption that most of the members of society, most of the time,

will share a commitment to a set of core values and abide by them without being

forced to comply with those values (Etzioni 1997). These core values are embodied

in the social structures that shape individual behaviours (the family, the school, the

community and wider community of communities). Individuals will then be guided

by the ‘moral voice’ which will either come from the community or from within the

individual. This communitarian approach locates the source of action within the

individual and restores the dignity of agency and responsibility (Sacks 1997).

This last approach may better reflect the changing nature of our communities, and

society in general. Society has become more pluralistic and fluid, subjected to

change rather than fixed. Work, family and other traditional structures of society

such as class, gender and community are constantly changing and so not relevant to

universal policies or solutions (Williams 1992). Policies will need to be reflexive

and support those who try to address their specific needs, and not tell the individuals

to conform to inappropriate models.

The dominant theory in strategic management, as reflected in the standard texts and

academic journals, is industrial organization economics which is based upon agency

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theory and rational choice (Mayhew 1980). However, there has been a growing

interest in human agency theory by both economists and psychologists as the

limitations of agency theory have become more apparent in complex global

operating markets. Because rational choice could explain everything, it explained

nothing (Mayhew 2001). Important early influences in the discovery or rediscovery

of human agency theory were Veblen in economics (Hodgson 2000; Veblen 1898)

and Bandura in psychology (Bandura 1977, 1986). Anthropology (Leaf 1974) and

sociology (Giddens 1976) were also coming to terms with human agency. In

economics, it has taken longer (Mayhew 2001). As agency theory and rational

choice are still dominant in strategic management research, they are still valid today

and thus inform thinking in this thesis.

In exploring the literature on how pluralistic strategizing pressures strain organizing

capacity, the identity and nature of the external stakeholders who place strategizing

pressures is discussed next. The pluralistic organizing to meet these different

strategizing pressures are described in the public services delivery method.

Theoretical frameworks and theories of public services policy

implementation

This section starts with definitions of the attributes of public service provision and

the methods of delivering those services, drawing upon the seminal works of Le

Grand. A well provided public service has five attributes (Le Grand 2007). The

attributes are quality, efficiency, responsiveness, accountability and equitability. A

good public service offers high quality and is operated and managed efficiently. The

service provision must be responsive to the individual needs and requirements of the

recipients or users of the service whilst being delivered equitably. Lastly, the service

providers must be accountable to the taxpayers who are funding the service.

The efficient provision of services provides the highest possible quantity and quality

of service from the finite resources available (Le Grand 2007). The converse of this

is very interesting for the study here reported. Inefficient services are therefore those

that lower the welfare of the service recipients.

There is a trade-off between accountability and responsiveness and autonomy (Le

Grand 2007). Whilst a service provision may be highly desirable to a citizen, the

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majority of citizens may believe (perception) that the opportunity cost is too high.

The majority of citizens may insist that those resources are better employed

elsewhere. This argument applies when generic services are delivered across the

board to those who need them and those who can afford to go without. It also

applies when services are tailored to individual needs. Service users may want more

than the majority of taxpayers are prepared to pay (for example, free health care at

the point of need, for everyone in the U.S.A).

Equity is social justice and fairness (Le Grand 2007) and one main reason why the

services are in the public, not private domain. Some services are in both, for

example leisure centres. The publicly provided services are specifically targeted at

citizens and groups of communities that are unable to purchase the private sector

services. One part of society should not be disadvantaged when it comes to their

well-being through fitness and health.

The relationship of these attributes of good public services and theories of public

services delivery methods are shown diagrammatically below. The figure is

explained in more detail below it.

Figure 2: Theoretical frameworks and theories of public services policy

implementation (adapted from Le Grand, 2007)

In the above figure on Theoretical frameworks and theories of public services

implementation, the attributes of good public services, discussed above, are shown in

the top left of the figure. What follows next in this section, is a discussion on public

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services delivery methods and these are shown to the top and right in the figure. Le

Grand (2007) identified four public service delivery methods (trust, performance

management, voice and choice). In the figure is shown their relationship to public

sector ethos, Agency Theory and Human Agency. Lastly, to the bottom and left of

the figure are the rationales for participation in the development and implementation

of policy. As shown in the figure, participation is directly related to ‘voice’ and so

the rationales for participation are discussed under the section on voice.

Trust and public sector ethos

There are four public service delivery methods (Le Grand 2007). They are trust,

performance management, voice, and choice. Trust is where professionals,

managers and others are trusted to deliver a high-quality public service based upon

the public service ethos. The characteristics of public sector ethos have been defined

(O'Toole 1993) as:

First, and most important, it is about the setting aside of personal interests…working altruistically for the public good. Secondly,…it is about working with others, collegially and anonymously, to promote that public good. Thirdly, it is about integrity in dealing with the many and diverse problems which need solving if the public good is to be promoted (page 3).

Others have identified a set of core values that inform behaviour in local government

(Pratchett and Wingfield 1994). These values are accountability; honesty and

impartiality; serving the community, altruistic motivation and a sense of loyalty to

community, profession and organization. Pratchett and Wingfield’s research

established that although there was a consensus upon the core values, there was no

universal public sector ethos because these values were interpreted differently. This

may have reflected the internal pluralism of the local government organization as it

embraced several different public services, delivered by different professionals and

at different levels. It was this public sector ethos that some believed was being

undermined by New Public Management (Doig 1995; Hoggett 1996; Malde 1994;

Marr 1996; O'Toole 1993; Pratchett and Wingfield 1994).

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The public service delivery model (Le Grand 2007) of trust relies upon the

professionals and others to deliver a good service without interference or micro-

management by the government or their agents. The overall budget is set by the

government and the professionals spend it as they see best for the service. They are

trusted to deliver a service of high quality, efficiently, responsive to citizens’ needs,

with accountability and equitably. The service delivery and behaviour of the

suppliers and deliverers are guided by the ethos of the public sector. The service

delivery is often performed by the professionals in collaboration with one another in

formal and informal networks rather than through formal hierarchical organizational

structures. The professional training required by many professional bodies instils a

competence of autonomy and independence (Le Grand 2007). This professional

knowledge, experience and skills reflects the fact that these workers are knowledge

workers in a knowledge economy working for a professional service organization,

not best suited to a manufacturing hierarchy of command-and-control.

Performance management: The rational analytical approach to organizing

Performance management (Le Grand 2007) is the command-and-control approach

that uses targets as a means to control the behaviour of service deliverers to comply

with the expectations of a higher authority. The command-and-control model

depends upon a hierarchy of management and control wherein the superiors at the

top of the government or agency instruct their subordinates to deliver the services

(Le Grand 2007). These instructions are delegated down the hierarchy to the point

of service delivery. The British government has used this model with a system of

targets and performance management approaches. Mainly numerical targets are set

for public service organizations and the government then rewards or penalizes staff

for their performance against these targets. This model has been shown to be

successful in the National Health Service (“NHS”) (Le Grand 2007). Upon

devolvement of power, the Welsh National Assembly abolished targets for the Welsh

NHS and adopted the trust model. The English NHS continued to improve its

services to the public while the Welsh services declined markedly (Alvarez-Rosete et

al. 2005; Bevan and Hood 2006; Hauck and Street 2007; Wales 2005).

Voice: Emergent strategy and street-level bureaucrats approach to

organizing

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In response to the emergence of the protest movements of the 1960s and the financial

crisis of the 1970s, western governments moved away from relying solely upon

representative democratic structures and included citizen participation in some

decision-making processes (Muir 2004). Prior to this shift, mass participation other

than by voting had been considered undemocratic (Pateman 1970). At about the

same time, Arnstein (1969: 216) defined citizen participation as:

‘The redistribution of power that enables the have-not citizens, presently excluded from the political and economic processes, to be deliberately included in the future’.

The current agency system of elected politicians and the local government paid staff

acting on behalf of the whole community is unrealistic, ineffective and outmoded

(Campbell and Marshall 2000). The electorate, the community, is more

cosmopolitan and more pluralistic than the old distinctions based upon class

(Cochrane 1996; Gyford 1986). This pluralism now makes the appropriateness of

the traditional ‘command and control’ approach (Healey 1998) questionable.

Paternalistic local government may not fit a more pluralistic community. In

addition, the politicians and the paid officers may not be able to represent all the

views of this wider community (Campbell and Marshall 2000). There is now a move

from local government towards local governance (Meek et al. 2007). Governance

facilitates communities of citizens and social organizations to produce social goods

and services. The issue of public participation in the decision-making process is not

new and is officially documented from before 1968 (Institute 1968). Later

(Campbell and Marshall 2000), there has been a communicative turn (Forester 1993;

Innes 1995) and collaborative planning (Healey 1997, 1998). The research study

herein reported specifically looks for and addresses this issue of participation.

The Labour government in the United Kingdom since 1997 has stressed changes to

local government democracy (Department of the Environment 1998a, b). Although

there are contrary arguments in the literature (Tewdwr-Jones and Thomas 1998;

Thomas 1996) they may just be defensive reactions (Evans 1995; Reade 1987).

Much of the published work concentrates upon the operationalization of public

involvement and not why the public should participate and its implications which

may reflect the ambiguity of the concept (Thomas 1996; Thornley 1977) which was

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later adopted and adapted by the Labour government. The research herein reported

looked for empirical evidence of local government democracy through devolvement

of power and participation in decision-making.

Campbell and Marshall developed a framework of the rationales for public

participation (Campbell and Marshall 2000), expanded and developed from previous

frameworks (Stoker 1997; Thornley 1977). In this framework, the rationales are

based upon the underlying motivations, ranging from those that concern the

individual to those that concern the whole community. The framework’s five

differing rationales for participation are instrumental participation, communitarian

participation, the politics of presence, deliberative democracy and the politics of the

consumer (freedom of choice) (Campbell and Marshall 2000).

Instrumental participation is the basic right of individual citizens to express and

pursue their own self-interests. Communitarian participation is the obligation and

responsibility of every citizen to participate with the intention of securing the

collective well-being. Geographical locality forms the centre of community and

communitarian thinking.

Politics of presence is the right of excluded groups to have presence within the

decision-making process on the basis that ‘you must be in it to win it’. In other

words, ‘Voice’ where users and recipients of public services communicate directly

their views, expectations and aspirations for the services. ‘Voice’ is bottom-up, not a

top-down, command and control model. The originator of the term (Hirschman

1970) described it so :

“Change, rather than to escape from, an objectionable state of affairs, whether through the individual or collective petition to the management directly in charge, through appeal to a higher authority with the intention of forcing a change in management, or through the various types of actions and protests, including those that are meant to mobilize public opinion.” (p.30)

However, some believe that only direct action will transform politics (Coit 1984;

Sandercock 1998). Deliberative democracy is the promotion of collaboration and

focuses upon decision-making and not interests, unlike the others (Campbell and

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Marshall 2000). The politics of presence and communitarian participation focus

upon transforming political processes.

Choice

The politics of the consumer build upon public choice theory and align the process to

the power of the market. Choice is where service users choose from amongst

competing service providers for the provision of services. The user choice model for

the delivery of public services is coupled with provider competition so that it can

deliver greater user autonomy, higher service quality, greater efficiency, greater

responsiveness and greater equity (Le Grand 2007).

There are more examples of community government in the USA than there are in the

UK (Campbell and Marshall 2000). In the UK, the conception of public

participation is secondary to that of service delivery (Batley and Stoker 1991;

Goldsmith 1996; Wolman 1995, 1996). In the USA, local government balances

participation, pluralism, responsible democracy and efficiency, whilst the

fundamental premise of democracy is that authority resides with the people (Sharpe

1973). However, more democracy brings more constraints in the form of more

institutions, structures and rules (Diggins 1998). Group decision making rarely

challenges the status quo (Lowndes 1995). More sophisticated thinking is required,

focussing upon the role and purpose of public participation (Campbell and Marshall

2000).

A rights-based approach to public participation delivers deadlock and collective

values are squeezed out (Campbell and Marshall 2000). Small community decisions

are not always best for social justice, whilst voice alone is not sufficient to change

political structure. Public participation must be justified first so that the appropriate

form of participation is adopted. The different types of decisions must be identified

for those that are for the collective good and those that are for the individual or group

preferences. There is a need for values-based decision making (Campbell and

Marshall 2000) as an understanding of universal values is imperative before

determining a particular value (Merrifield 1997). Making change is about values

(Harvey 1993, 1996; Squires 1993). Finding ways to remedy what is perceived to be

unsatisfactory is fundamentally a matter of values (Campbell and Marshall 2000).

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Each service delivery model (trust, performance management, choice and voice) has

advantages and disadvantages compared to the others. The specific delivery model

used should be related to the nature of the service. For example, a regulation and

control function may be more suited to a performance management (“command and

control”) delivery system whilst regenerating an inner city may benefit from

consultation with the inhabitants. This tension will be considered in the research

undertaken and herein reported when exploring and discussing the matching of

organization and strategizing pluralism (Jarzabkowski and Fenton 2006).

The above discussions drawn from the literature contribute to the explanation of why

pluralistic strategizing pressures strain organizing capacity. With so many

demanding stakeholders with different objectives any attempt by the organization to

accommodate the multiple strategies will strain the organization’s capacity.

Differing strategies may involve duplicate organizational capacities. Any attempt to

devolve responsibility to the constituents or service participants will have an

organizing capacity implication.

The first core section of the literature review looked at how the pluralistic nature of

organizing has unintended strategizing implications and the second core review

looked at how pluralistic strategizing pressures strain organizing capacity. The

review of literature now moves on to look at the implications of the continual friction

between organizing and strategizing.

Protracted tensions between organizing and strategizing

Local government authorities are subjected to high organizing and high strategizing

pressures. This is because these organizations are comprised of staff from different

professional qualifications, cultures and interests which are often contrary to those of

the senior management. In addition, local government organizations are subject to

pluralistic strategizing tensions as stakeholders may have competing demands for the

provision of quality public services and demonstrating value for money, efficiency

and a more commercial orientation. The nature of new government policies cross

functional boundaries and even agencies. This intensifies the competing demands

and reporting metrics. This combined pluralistic strategizing and organizing

tensions result in difficulty to align strategizing with organizing (Jarzabkowski and

Fenton, 2006). Frequently, the high levels of resultant conflict experienced by these

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organizations mean that the leadership role is difficult and the continuous

adjustments between organizing and strategizing processes may take increasingly far

longer than anticipated to resolve. This organizational environment more closely

resembles that described by Complexity Theory which is discussed next, followed by

Institutional Theory.

Complex Adaptive Systems and Complexity Theory

Public service organizations are driven by the sub-cultures of staff groups, managers,

boards and users. Public service organizations are not predictable, and staff are

emotionally affected by their own sub-cultures as well as formal protocols (Maddock

2002). Strategy emerges as a result of the change process through process, openness,

accident and coincidence not from planning (Stacey 1992). The next discussion on

complexity theory is another approach to understanding these phenomena.

There is not a single unified theory of complexity because the theory has evolved

from several different natural sciences. Many of the tenets of complexity theory are

not new but the science of complexity has been used by researchers to explain better

many phenomena in organizations (Allen 1994, 2001; Allen 1990; Allen et al. 1977;

Anderson 1999; Capra 1996; Garnsey and McGlade 2006; Goodwin 1994; Maguire

and McKelvey 1999; Mitleton-Kelly 2003; Richardson 2005).

Complexity Theory has evolved from five different fields of research which have

been identified as Complex Adaptive Systems (“CAS”); Dissipative structures;

Autopoiesis Theory; Chaos Theory and Increasing Returns, and path dependency

(Mitleton-Kelly 2003). All of these theories do share common ideas (Klijn 2008),

including that the whole system is more than the sum of its parts, whilst

developments of the whole system result from the interaction of the parts; systems

develop non-linearly and are influenced by various feedback mechanisms; the

systems are dominated by self-organization and co-evolve with other systems. The

research herein reported focuses upon Complex Adaptive Systems. Complex is not

just complicated. Complicated can be defined as many elements within the system,

whilst in complex systems they are mutually interdependent and heavily influence

the probabilities of many kinds of later events (Axelrod and Cohen 2000).

Complex adaptive systems have been studied for decades at the Santa Fe Institute in

New Mexico and the results published by Stuart Kauffman (Kauffman 1993, 1995, Page 52


2000), John Holland (Holland 1995, 1998), Chris Langton (Waldrop 1992) and

Murray Gell-Mann (Gell-Mann 1994). There are basic principles of complex

adaptive systems and complexity theory (Boulton and Allen 2007). They are that

there is more than one possible future; complex systems may tip in to radically new

forms with new characteristics; there is a need for interconnectivity - variation is a

requisite for novelty; the system is not fixed, it is emergent, self-organizing and co-

evolving, and organizations must have self-conflicting mindsets to pursue

simultaneously both exploitation and exploration. These principles are explained

now briefly.

There is more than one possible future. The future is unknown and unknowable.

From the ontological and epistemological position of this researcher (see the

methodology chapter for a more detailed explanation), the future is influenced and

socially constructed by the participants according to their social norms and

expectations. The uncertainty of the future is heightened at junctures, or bifurcation

points, when the system could tip in any direction but it is not known which way it

will take. These points of change may be open to influence or guidance but are not

predictable. The contest for the new industry standard between the Blue-ray DVD

recording technology and HDD was an example with Blue-ray winning out. We will

now be “locked-in” (Arthur 1983) to Blue-ray technology until another new

disruptive technology emerges.

Complex systems (i.e. the climate, economies, organizations) may tip in to radically

new forms with new characteristics. The final tipping may be triggered by

seemingly insignificant events (‘the final straw that broke the camel’s back’ is a

common saying that illustrates the phenomena). A new industry standard or a new

disruptive technology (Christensen 1997) could lead to an example of a market or

industry tipping. Equally, a system may tip due to unintended consequences of

rational, logical thinking, decisions and plans.

There is a need for interconnectivity. An ‘open’ or interconnected organization will

be better able to respond to a changing environment than an organization that is

‘closed’ to outside interconnectivity. Creativity, evolution and change can only

occur if there is diversity and elements within the system are strongly inter-related

(Allen and McGlade 1987). Variation is a requisite for novelty. This reflects the

Page 53


law of requisite variety in cybernetics (Ashby 1956). Connectivity and

interdependence within a (human) living system means that a decision and action

taken in any part of the system will impact upon others connected to that system.

This is one illustration of how complex behaviour arises. Participants may act

independently, but they are dependent on other participants in the system to varying

degrees (Rhodes 2006).

It is quite possible that an employee will, of course, be part of the organization’s

hierarchy but they may spend more of their time interacting with other members of

the network external to the organization. Networks will not replace hierarchies that

are more efficient to deliver the routine. Networks will complement the hierarchy

(Krackhardt and Hanson 1993). They will be more effective in problem-solving and

developing new services for society. Networks permit ‘ordered chaos’ (Mandell

2004). Within a collaborative network, the traditional hierarchical command and

control system is replaced by facilitation skills, shared leadership, consensus and

objectivity (Meek et al. 2007).

The knock-on effect may vary depending on the state or preparedness of the

recipient (Mitleton-Kelly 2003). As an organization becomes increasingly

interconnected, it becomes more interdependent. This means that in a larger

organization, an improvement in one part of the entity may have a negative impact

upon another part. For this reason, it is often more difficult for larger firms to adjust

and change rapidly to environmental changes.

The system is not fixed. The system is emergent, self-organizing and co-evolving.

The systems are interacting, overlapping and co-evolving. The system will be able

to self-organize in response to positive and negative feedback and so change and

adapt if it is not too rigid (Briggs and Peat 2000). If the system elements are able to

shift and change as a result of rich diversity and inter-connectivity then creativity

and survival are enhanced (Boulton and Allen 2007). All actions are based upon the

interpretations of each participant, according to the way they interpret the

possibilities of adding value (Boisot and Child 1999; Burns and Stalker 1961).

Therefore, the initiatives will not be predictable or consistent as interpretation will

tend to vary between participants, even in similar circumstances (Rhodes and

MacKechnie 2003).

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The management of organizations is a paradox: both exploiting the existing

competences and exploring for future opportunities. There is a need for traditional

‘operational’, rational, logical thinking for the routine business but emergent

thinking (complexity approach) to explore, experiment and pilot creative new ideas

is required. Several authors have proposed that complex adaptive systems theory has

the potential to explain public administration (Blackman 2001; Chapman 2002;

Pierce 2000).

There is an explanation of why and how some individuals are able better to balance

the exploration/exploitation paradoxes. Within psychology is a concept that goes by

two different names depending upon the author and their field of research: cognitive

or integrative complexity. Cognitive or integrative complexity is the degree to

which an individual makes distinctions and perceives relationships within a cognitive

domain (Suedfeld and Tetlock 2001).

Effectively on one axis, this is identifying how well an individual can perceive

several dimensions and points of view relevant to the topic. The identification of

multiple dimensions and points of view establishes the differentiation variable. The

other axis measures how well the subject can relate the different views to each other.

This identification of the relationships is the integration variable. By discourse

analysis the researchers (Suedfeld and Leighton 2002) are able to measure an

individual’s cognitive complexity. The ability to think in a complex way affects how

and not just what a person thinks (Suedfeld and Leighton 2002).

Under stressful environmental conditions, whilst being able to see each side of an

argument may lead to a better understanding of the problem, it may cause

information overload and slow decision-making by the individual. This insight may

be another argument for devolved decision-making.

Integrative or cognitive complexity explains how somebody with a higher score on

the integrative or cognitive complexity model described above is able to comprehend

complexity theory as an integrative theory of strategic management. Holding the

complexity theory perspective to strategic management, an individual with a higher

integrative complexity ability will be able to integrate both the rational analytical and

emergent approaches. The integration of complex, pluralistic perspectives was

summarized by Boulton and Allen (2007) “The complexity worldview presents a

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new, integrated picture of the behaviour of organizations, marketplaces, economies

and political infrastructures” (p215).

Future events are more certain when closed change is relevant (Stacey 1993).

Towards the other extreme, open-ended change is more relevant on the edge of chaos

where both uncertainty and complexity are key characteristics. At a point between

both of these is contained change where probalistic forecasts of the future are

possible (Stacey 1993). It is argued that varying levels of uncertainty and

complexity may be experienced by different parts of an organization at any time. It

is possible that a single organization will be operating in all three of these

environments at the same time. Effectively, they could all be associated with

different points in the service life-cycle.

These three points of Stacey’s model have been chosen for ease of discussion. The

three points are closed change, contained change and open-ended change. But, it is

also useful to note that along a continuum, there are many shades and blends

between the ends of that continuum. Travelling along the continuum, they blend in

to each other. The three points on the model are described in the next three sections

(closed change, contained change and open-ended change).

Closed Change: Complexity Rejection

Closed change featured unambiguous problems, clear connections between cause

and effect and reasonably accurately forecastable consequences of the change

(Stacey 1993). This accuracy of planning was reflected in the traditional economic

models that assume that marketplaces move towards equilibrium unless barriers to

competition enable superior rents to be earned (Peteraf 1993). This rational planning

school goes through a linear process of strategic analysis, strategy development and

strategy implementation (Lynch 2000).

The dominant strategy paradigms are that of industry attractiveness and generic

strategies (Porter 1980a), based upon the application of industrial organization

economics to an industry. This framework forms the core of the industry analysis

and positioning strategizing approach. An organization’s strategic analysis identifies

a gap in the industry, the organization takes up a position to fill that gap and then

defends its position. The key issues are to reduce the power of the other industry

actors to achieve higher returns by building barriers to entry and migration within the Page 56


industry whilst at the same time increasing switching costs for both suppliers and

buyers, thereby locking them in and the competition out. Higher returns from a

sustainable competitive position may then be earned (Porter 1980a).

This sustained period of advantage assumes a period of equilibrium when all the

forces to change the situation are equally matched by all the forces maintaining the

status quo. It is a defensive strategy based upon the control of the environment

through the construction of barriers and switching costs and attempts to prevent

strategic change within the industry segment (Porter 1980a). The dominant form of

change is incremental. Some scholars have criticised the work for lack of rigour

(Grant 1991), for example social and organizational dynamics influence the selection

of industry standards and not just rational, technical logic. This strategic planning

approach to strategy is dominated by the analysis of the industry and the ‘fit’ of the

strategy to it.

The above approach to strategizing is based upon the analysis of the external

environment. However, performance differences between organizations can also be

due to the actions, resources and assets of the organization itself. This is the

Resource-Based View (“RBV”) of strategy. A resource-based approach (Wernfelt

1984) was developed by building upon the work on the growth of the firm (Penrose

1959). Firms create competitive advantage by developing unique resources that are

costly, rare and non-replicable.

The primary source of competitive advantage is intangible resources. Firms have to

differentiate between two forms of activity: specialization to gain competitive

advantage, and other activities that maintain close integration in order to achieve

economies of scale and focus (Bartlett 1979; Doz 1976; Ghoshal 1986; Prahalad

1975). Researchers looked inside organizations at their stock and application of

resources in search of explanations as to why two more or less identical

organizations, operating in the same industry segment achieved widely differing

returns. If the industry attractiveness was the same for both and they followed

similar generic strategies then the answer to the cause of differing returns was felt to

be within the organizations themselves. Scholars have questioned the theoretical

foundations of RBV and empirical contributions (Hoopes 2003).

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The industry analysis and positioning strategy explains the forces within the industry

segment and the defensive position within it taken by the organization. The RBV

explains how the resources, capabilities and competences within the organization

contribute to the generic strategy (differentiation, focus or lowest cost). However,

outside of the private sector, although surpluses are important to fund future

development, excessive surpluses may not reflect the social nature of the

organization. Many services provided by the LGA are dependent upon taxes

collected from local inhabitants, although it must be appreciated that the services

provided by the LGA range from the purely commercial to the purely social. Most

LGAs have a portfolio of services that separately serve both the public and private

sectors. For example, in the provision of sport and leisure services, the LGA is in

direct competition with private leisure and sports clubs. Strategizing for competitive

advantage is relevant and essential for sectors of the service portfolio.

For other regulatory, statutory and discretionary services, there is not an obvious

element of competition, except that Best Value means that every service, function

and staff member are potentially open to competitive tendering from outside the

organization. Stakeholder analysis carried more importance prior to 1997 when it

would be debated as to who was the ‘client’. Possible candidates for designation as

‘the client’ were the individual member of the community who received the service,

a pressure group or NGO, the LGA’s taxpayers, the Councillors or the central

government. With the enactment of New Public Management and managerialism, it

became clearer because it was mandated that the Councillor took the decisions and

carried the responsibility for those decisions. The LGA’s staff carried out the

decisions of the councillors. This acquiescence was deemed to be a great cause of

tension for professionals in the field who want to use their discretion when

implementing the councillors’ strategy. This environment of unambiguous

problems, clear connections between cause and effect, and reasonably accurately

forecastable consequences of the change may be more reflective of some of the

traditional statutory and regulatory services performed by the LGA, and internal

administrative services such as payroll.

Contained Change: Complexity Reduction

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Contained change was more uncertain and featured probalistic forecasts of the

consequences of the change programme (Stacey 1993). In order to understand and

strategize in a more dynamic environment, scholars adapted the planning school

approach of industry analysis and RBV for changes in the environment. They

developed the Dynamic Capability approach to strategy (Eisenhardt and Martin

2000; Teece et al. 1997). It attempted to account for more than incremental change.

In addition other strategizing approaches and techniques are applicable to this level

of uncertainty and complexity, such as game theory and real options theory which

will not be described here. In many ways, they are modern-day extensions to the

Planning school. Agreed, they are more scientifically quantifiable techniques than

those developed by Igor Ansoff in the 1980s but they follow the same underlying

modernist assumptions of the Classical Planning School.

The other significant approach to strategizing is scenario planning (Schwartz 1996).

Unlike the traditional strategic planning approach of industry analysis and the

resource based view which focus upon a single best answer (single destination and a

single route to it), this approach caters for multiple possible futures. This approach

makes scenario planning more useful under environmental conditions of uncertainty

and dynamic change (Schoemaker 1991).

Open-ended Change: Complexity Absorption

In the open-ended change, the future consequences were made difficult due to the

ambiguous purposes and equivocal preferences of the external and internal pluralism

(Stacey 1993). Such an outcome appeared to be the case in this LGA when it came

to the implementation of government policy that cut across functions, professions,

organizations and even sectors.

One approach, and one that most organizations face, is to act and react to events

within the industry. This is almost inevitable. However, there is a different

approach – an organization can set the pace and force the rest of the industry to

follow at its speed. This is time-pacing (Brown and Eisenhardt 1998b). Change

becomes a rhythm. A well-known example is Intel which since 1975 has followed

the rhythm of doubling the power of computer chips every 18 months. This

maintains the pressure on their research engineers for development but also means

that the whole organization has settled in to this rhythm. In a dynamically changing Page 59


environment it is less stressful to set the pace than to be continuously dragged along

behind, scrambling to catch up.

Another approach is to have a few simple, key rules and not volumes of policies and

procedures. Policies and procedures typify the other two organizations that follow

closed or contained change. Volumes of rigorous policies and procedures prevent an

organization from rapidly adapting and changing to environmental circumstances.

Just a handful of rules within each of five criteria are all that are needed for a nimble,

creative and entrepreneurial organization – How-to rules, Boundary Rules, Priority

rules, Timing rules and Exit rules (Eisenhardt and Sull 2001). These rules are

established for the organization’s key processes. The How-to rules specify the key

process’s features and what makes the process unique. The Boundary rules specify

which types of opportunities can be followed and which cannot. The Priority rules

help to rank options and Timing rules synchronize the various opportunities across

the organization. Lastly, the Exit rules guide managers when to stop a solution to

yesterday’s problem. These five simple rules could keep the LGA focussed on

evolving key processes.

Under open-ended change, discussion has identified time-pacing and a few simple

rules will set the context for strategizing, but next is a solution for developing

strategy under conditions of turbulence with ambiguity, uncertainty and complexity.

The solution is by developing a portfolio of initiatives (Beinhocker 1999; Brown and

Eisenhardt 1998a; Bryan 2002). In this LGA, they might group several different

initiatives around the strategic objectives for reducing obesity in the community.

Their performance can be monitored and action taken as necessary. So, as initiatives

fail to achieve their objectives, the organization can learn from the experience and

reallocate the resources to those successful initiatives that require the resource. This

is a fluid strategy approach more attuned and aligned to a turbulent and complex

environment. In recommending a portfolio of initiatives approach, that most

positivistic organization, McKinsey & Co. declared that the whole process resembled

art more than science (Bryan 2002).

Theoretical constraints upon organizational adaptability - Institutional

Theory

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Institutional theory is based upon the concept of social construction. The underlying

assumptions are that the external and internal worlds of the organization are

subjectively constructed, interpreted and understood by the people within the

organization (Johnson and Greenwood 2007) and influenced by social norms and

expectations. Additionally, institutional theory assumes that when individuals

perceive their worlds through their interpretation and understanding, they behave

according to that understanding with the consequence that this activity influences the

creation of a world that fits that individual’s perceptions.

Institutional theory states that organizations are not autonomous and free to follow

their own economic activity but are constrained by social prescriptions as they

conform to the social norms of the society and a web of interactions within which

they operate. The social web within which they operate influences, constrains and

shapes the organization’s strategy, structure, practices and managerial decisions

(Johnson and Greenwood 2007; Meyer and Rowan 1977; Tolbert and Zucker 1983,

1996). The prescribed ideas and beliefs on management conduct are conveyed to

organizations from the government, professional institutions and other bodies

(DiMaggio and Powell 1983).

In return for conforming to these social prescriptions, the organization earns support

and approval, thereby increasing their legitimacy (Baum and Oliver 1991). The

social prescriptions over time become ingrained within the organization as part of the

unquestioned or even unrealised (‘that’s the way we do things around here’) values,

beliefs and assumptions that form the organization’s culture (Meyer and Rowan

1977). Even if surfaced, these deeply embedded prescriptions can be difficult to

refute or change (DiMaggio and Powell 1983). Conforming to social prescriptions

may result in decisions that are less efficient than those taken in a free market

environment but the social web’s support and approval may ensure longer-term

survival (Oliver 1997). The result of this social web is that similar organizations will

conform to the same prescriptions which results in all the organizations adopting

similar decisions and strategies (DiMaggio and Powell 1983; Johnson and

Greenwood 2007; Meyer and Rowan 1977).

The above discussions on Complexity Theory and Institutional Theory adds to our

understanding of pluralism and the protracted tensions between organizing and

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strategizing. Jarzabkowsi and Fenton (2006) proposed a framework to explore and

help explain the interdependence between organizing and strategizing. The

framework is discussed in the next section.

Framework for pluralistic context

A framework to show how either internal or external pluralism are interdependent

was proposed by Jarzabkowski and Fenton (2006). The framework proposes three

different ways for diagnosing the sources of strategizing and organizing problems

and their implications. The three modes are interdependence, imbalanced and

destructive associations between strategizing and organizing in pluralistic contexts.

Effectively, the three modes sit on a continuum with the interdependence being the

more favourable option, then imbalanced and the final, worst option, being

destructive. Each of the three modes have different characteristics of strategizing

and organizing. This implies that they each have different management implications

and potential risks.

The best mode option is interdependence, it is an ideal state. In the interdependence

mode, organizing and strategizing are mutually reinforcing and so organizing

practices are designed to meet the demands of different strategic goals, whilst

strategizing practices recognise the interests and identities of different organizational

groups. Towards the opposite end of the continuum is a context that exhibits

extreme pluralism in both external strategizing and internal organizing. This mode is

destructive. From the external strategizing perspective, there are multiple strategic

objectives that cannot be aligned. Meanwhile, the internal organizing experiences

being pulled in many diverse ways which cannot be accommodated, or are in conflict

with some of the strategic objectives. The organization, being pulled in so many

different directions, cannot meet the multiple demands placed upon it. There are two

possible solutions, either major change or organizational breakdown. Towards the

mid-point of this continuum is the imbalanced mode. Organizations in this mode

tend to find that pluralism has crept up upon them over a period of time without

management’s awareness. The symptoms are that strategic objectives are blocked by

organizing practices. An example here is HR systems for appraisal and reward.

They encourage employee behaviour in favour of alternatives, focusing the

employee’s attention on some goals at the expense of others. Or, some strategizing

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practices focus upon the interests of part of the organization to the detriment of

others, which could cause conflict between sub-cultures and identities (Rivkin and

Sigglekow, 2006).

The characteristics of the three modes, the actions for management and the potential

risks are shown in the next table and the implications for each mode are explained in

more detail after the table.

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Table 2: Managing modes of association between strategizing and organizing (Jarzabkowski and Fenton, 2006: 643)

Positive Association

Characteristics Strategizing & Organizing Actions Potential Risks

Inte

rdep

ende

nt

Ideal type with ongoing mutual adjustment between strategizing and organizing

Strategizing practices enable response to different strategic objectives without marginalising the interests of different organizational constituents

Organizing practices are consistent with the identities and interests of different organizational constituents without blocking the realisation of strategic objectives that are not particular to any one group

Ensure MIS provides quality and timely feedback on performance towards each of the multiple goals

Frequent dialogue (quarterly where indicated) with organizational constituents to ensure recognition of their interests and help them to place interests in the wider context

Adjust strategizing and organizing practices, even marginally, as often as quarterly in order to ensure they continue to reflect interests and agreed goals and targets

Excessive demands on top management time and attention overstretch their capacity

Difficult to maintain the high levels of flexibility in incentive, planning and monitoring systems, which tend to become rigid and rule-based over time

Difficult to maintain the close managerial contact required as the organization grows and/or becomes more geographically diverse

Imba

lanc

ed

Imbalance between strategizing and organizing. The organization is continually in a catch-up cycle as it adjusts either strategizing or organizing practices in response to unintended consequences that give rise to more unintended consequences

Strategizing practices are too homogeneous to accommodate the legitimate identities and interests of multiple organizational constituents, deflecting these interests and generating conflict

Organizing practices privilege some strategic goals over others by enabling the interests of some organizational constituents to dominate those of others

As for the interdependent mode, with additional corrective actions as below

Synchronize change programmes so that organizing practices are considered at the same time as new strategizing practices are implemented and vice versa

Avoid singular or inflexible strategizing and organizing practices, which are too rigid to accommodate mutual adjustment

As for independent mode plus additional risks as below

If managers adopt a reactive approach to strategic and organizational demands, waiting to see outcomes before adjusting commensurable practices, they will exacerbate the vicious cycle of catch-up

Des

truct

ive

Organization is on a destructive course as competing internal and external demands result in increasing proliferation of interests and goals which are mutually exclusive

Strategizing practices abound to respond to different strategic objectives but are so non-aligned with organizational capacity that they cannot be realised

Different organizing practices spring up in the different constituencies, fragmenting the organization, as each group attempts to realise its interests by appropriating the organization’s strategic resources

As for the interdependent mode, with additional corrective actions as below

Minimize pluralism by restructuring into smaller or more discrete units, each of which can have greater goal coherence

Identify competing goals and interests and map the trade-offs and prioritizing that these involve

Acknowledge that breakdown may be the most viable solution

As for independent mode plus additional risks as below

Continual adjustment to multiple internal and external demands may result in lack of focus on any specific goal

Pluralistic tensions may be incommensurable, so that the organization is always on a destructive path

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Negative Association

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The foregoing table on Managing Modes of Association between Strategizing and Organizing is now explained in more detail for each of the modes in turn (Interdependent, Imbalanced and Destructive).

Interdependent association between strategizing and organizing

Larger organizations do not have a single organizational culture and identity focused

upon the achievement of a single strategic objective. Most organizations operate

within pluralistic contexts, with some pluralism in both organizing practices and

strategizing practices. Before interdependence can be achieved, management must

first acknowledge pluralism. In order to achieve interdependence, management must

adjust alignment between strategizing and organizing in order to create organizing

practices that are designed to meet the needs of different strategies plus the interests

and identities of the different organizational groups. This may require the continual

adjustment to organizing practices to meet the interests of key stakeholders. At the

same time, strategizing activities must be monitored to ensure that some strategic

objectives do not override others during the attempt to accommodate all

stakeholders’ interests.

Traditionally, organizations have run their systems on an annual timetable with

strategy being an annual planning event. This annual timetable is not successful in a

pluralistic context. Interdependence requires an adjustment to systems, processes

and practices. Even minor problems indicate the misalignment between external

strategic goals and internal interests and these problems can grow rapidly. In order

to change or correct behaviour, incentives, planning systems and performance

metrics must be flexed and changed, in order to align strategizing and organizing

practices. Of equal importance is routine dialogue (two-way conversation) between

managers and their constituents (Jarzabkowski and Sillince, 2007, 2010). This

dialogue is required in order to surface different interests and to place those interests

within the context of multiple goals and interests (Schein, 1993).

In order to achieve interdependence between strategizing and organizing is very time

consuming for management. Interdependence requires continual flexing and

adjusting organizing and strategizing practices plus continual dialogues on these

adjustments. The continual pressure and demands upon management results in the

risk that they are over-stretched. This can be aggravated by the organization’s

growth or geographical diversity. As pressure mounts upon management, there is a Page 66


general tendency for managers to become less flexible in their approach to

strategizing and organizing. Management fall back upon more rigid, rule-based

procedures that push the organization to the imbalanced mode of association.

Interdependence is not a steady-state or equilibrium. Interdependence is a

continually changing state to which organizations must continuously aspire.

Sufficient managerial and financial resources must be allocated to achieve and

maintain the continual flexibility of the interdependence mode.

Imbalanced association between strategizing and organizing

Pluralism does not usually manifest itself over night, it usually builds up slowly

without management being aware of it (Jarzabkowski and Fenton, 2006).

Management therefore do not spot the sources and their implications as they arise.

New strategies or new organizing practices are blocked because the organization is

in imbalance between organizing and strategizing (Rivkin and Siggelkow, 2006).

Unless there is synchronized adjustment of both strategizing and organizing as in the

interdependent mode, the changing strategic demands and the moving interests

within the organization, the sources of pluralism will be imbalanced. Often

organizations change their strategy and even their structure without considering other

existing ways of organizing that may block the achievement of that strategy. This

need for a more balanced approach was also reflected in the McKinsey 7-s, where if

one of the seven S changed then all seven needed adjusting (Waterman, Peters and

Phillips, 1980).

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Figure 3: McKinsey 7-S Framework (Waterman, Peters and Phillips, 1980)

The McKinsey framework deliberately reflected the interdependence of each

element of the organization. In the centre are the shared values or organizational

culture. If one of the harder factors are changed, such as strategy, structure or

systems, then the more difficult softer organizational characteristics will require

flexing to maintain the balance, such as shared values, leadership style, staff

demographics and skills. Organizations that operate on a system of annual strategic

planning will be more susceptible to imbalance because these annual processes of

fixing strategizing and organizing practices will lack the ability to flex and adjust

during the year as new sources of pluralism become apparent. More rigid, single

approaches to strategizing and organizing are often adopted by management in an

attempt to reduce uncertainty, complexity and ambiguity. The result is often the

opposite. A singular approach to strategizing and organizing will not take into

account the external or internal pluralism. The risk is that organizations enter a

period of alternate adjustments to operating processes and strategizing processes as

unforeseen consequences are realised, corrected and again subsequent consequences

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realised. This can become a vicious cycle in which they never manage to catch-up

and synchronize the external and internal pluralism demands (Masuch, 1985).

Pluralism requires deliberate, rapid mutual adjustments to organizing and

strategizing to avoid imbalance (Jarzabkowski and Fenton, 2006). If action is

delayed for the review of the outcome of adjustments made, then that will be too late

and there is a risk of incurring a vicious cycle of continuous catch-up.

Destructive association between strategizing and organizing

Where organizations are subject to extreme pluralism with both high external

strategizing pluralism and high internal organizing pluralism, then this can be a very

complex management problem. If action is not quickly and successfully taken to

balance the internal and external demands, then the result can be destructive

association between organizing and strategizing. In extreme cases, the competing

strategizing and organizing demands may be incommensurable. This could lead to

organizational breakdown (Jarzabkowski and Fenton, 2006).

Action can be taken by management to minimize the impact of pluralism. The

organization can be restructured into smaller, discrete units. This will enable some

of the sources of pluralism to be reduced. A smaller unit serving fewer stakeholders

should be better placed to balance its strategizing and organizing. Restructuring may

not eliminate pluralism but it may be minimized. The new units will still require

continual mutual adjustment between strategizing and organizing, in an attempt to

achieve the interdependent mode. Frequently, in organizations that are subject to

high pluralism, the strategic objectives are ambiguous. These competing interests

need to be identified quickly and a dialogue opened to discuss the multiple

expectations from the organizations diverse stakeholders. Some goals may be

traded-off against others and some may be dropped in an attempt to balance different

priorities and to balance organizing and strategizing. It must be accepted though that

for organizations operating in contexts of extreme pluralism, the organizations will

never be stable (Jarzabkowski and Fenton, 2006). The political interests driving the

pluralism will result in continuous shifting of priorities and trade-offs. This in turn

delivers another risk that the organization will lose focus as it is continuously pulled

in different directions.

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From the above discussions on the framework for pluralistic context, Jarzabkowski

and Fenton (2006) drew the conclusion that there were three key principles to be

carried forward. These are discussed next before a summary and conclusions are

made upon the review of the literature from a pluralism perspective.

Concluding three key principles

From the foregoing discussion on the balancing of organizing and strategizing, there

are three key principles (Jarzabkowski and Fenton, 2006). They are continuous

change, the strive for interdependence and frequent dialogue. For those

organizations operating in a context that has external strategizing pluralism and

internal organizing pluralism, equilibrium and steady-states are not feasible.

Continuous change must be the norm. This means that both the strategizing

processes and organizing processes must be changed to reflect this continually

changing environment. The annual strategic planning process must be replaced with

a strategic management process of continual adjustment and refinement. This means

emergent strategy. Organizations operating in contexts of pluralism must

continually try to achieve interdependence between external organizing pluralism

and internal organizing pluralism by correcting the many imbalances as they occur

with mutual adjustments as a continual process. Lastly, the priority is to ensure that

there is continual, routine dialogue between top managers and their constituents.

This is necessary for different interests and goals to be surfaced and common ground

established so that they may be addressed.

Summary

This chapter has reviewed the emerging literature on pluralism, and the

interdependence of strategizing and organizing. After defining strategizing and

organizing, and explaining the differences between public services policy and

strategy, the two perspectives of the pluralism under study (pluralistic strategizing

tensions and pluralistic organizing tensions) were reviewed. The interdependence

between organizing and strategizing threw up three problems. They were that

pluralistic organizing has unintended strategizing implications; pluralistic

strategizing pressures strain organizing capacity and, protracted tensions between

organizing and strategizing. The pluralistic organizing pressures were revealed to

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have unintended strategizing implications. There followed a discussion upon the

rational analytical approach and the emergent approach to strategizing. The

pluralistic organizing pressures would probably result in unintended, emergent

strategy. The converse was also possible – pluralistic strategizing pressures strain

organizing capacity. So, where there are many external stakeholders making

multiple demands for different strategic objectives, the organization’s capacity to

deliver all of these different, and possibly conflicting objectives, could overwhelm

an organization’s resource capacity. From this discussion on pluralistic, external

strategizing pressures came Agency Theory and the implementation of public

services policy. Again, but this time from the organizing perspective, the rational

analytical and emergent approaches were discussed. The third problem was

protracted tensions. This continual friction between organizing and strategizing

meant that the organization was in a state of continuous change. This stimulated a

discussion on Complexity Theory and Institutional Theory. From the framework

developed by Jarzabkowski and Fenton (2006), the three key principles tied back to

this state of continuous change. Their conclusion was that pluralism caused by

multiple internal interests and identities and by multiple external demands of

different stakeholders was highly and increasingly relevant for many organizations.

Organizations are complex plural entities in which a single vision or stable

organization focus may be unlikely (Jarzabkowski and Fenton, 2006). They go on to

state:

Simarly, research needs to shift from the current dominant perspectives on strategy and organizations as largely coherent and reified states to embracing more socially dynamic and pluralistic views of the firm and its activities (Jarzabkowski and Fenton, 2006: 647)

This gap in the research literature will be addressed by the research study reported

herein. The pluralistic perspective towards strategizing and organizing is taken when

answering the research question: How does government strategize locally from a

middle management perspective. Empirical confirmation will be sought of the above

discussion upon external strategizing pluralism and internal organizing pluralism as

well as the way the two tensions are balanced by management in the research site.

The study will look at the choice, compromise or balance between the different

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strategizing and organizing practices (rational analytical, emergent or complex

adaptive system).

The next chapter outlines the methodology adopted to research these gaps identified

by the review of literature above. The research herein reported adds to the empirical

studies from the perspective of the new practice-turn, strategy-as-practice

perspective (Jarzabkowski and Spee 2009). It takes middle management as its unit

of analysis for which there has been a dearth of empirical study (Wooldridge et al.

2008). The next chapter describes how the research is accomplished from the

methodological frontiers using participative action research (Balogun et al. 2003).

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3. RESEARCH METHODOLOGY

Introduction

This chapter outlines the research philosophy, strategy and methodological

framework which underpin this study. The research strategy is discussed and shows

how it is crucial to any study as it determines the type of questions being asked and

presents a flexible action research methodology whereby the answer to the research

question emerges from work grounded in practice and informed by literature in a

constant and iterative loop of enquiry and reflection. The research herein reported

was a phenomenological study of a public sector organization. The organization was

self-selecting as this researcher was invited to facilitate a participatory action

research programme on the strategizing process. The participatory action research

stages lasted some two years and were supplemented by data from the analysis of

documents and archived material over a four year history, plus semi-structured

interviews.

The structure of this chapter starts with an overview of the researcher’s philosophical

position and the research method. These are then explained and justified in greater

detail, topic-by-topic (Robson, 1993). The researcher’s phenomenological

commitments are compared to the alternative positivistic stance, highlighting the

difference in beliefs, research behaviour and methods. The researcher’s interpretivist

and constructivist philosophical position is discussed along with the choice of

qualitative research. There then follows discussions leading the reader of this

document from the purpose of the research, through the research strategy, and

research type, with a detailed explanation upon the choice of action research variant

and its critiques. The data collection methods are discussed as well as the role of

literature in action research. Validity and reliability (trustworthiness) are discussed,

as well as alternative research methods, and ethical considerations. The chapter ends

with a summary of the selected research approach, methods used and the steps taken

to ensure validity and trustworthiness.

Any discussion about methodology must highlight the vital link between theory and

method. Such discussion will depend on the world view of the researcher, the type

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of research question to be explored, and the techniques adopted in addressing the

question (Morgan and Smircich 1980). A summary of the researcher’s position is

shown in Table 3, next.

Table 3: Summary of researcher's position (Developed for the purposes of this thesis)

Philosophical commitments Constructivist, non-deterministic view of

human existence, qualitative

methodologies

Methodological paradigms Phenomenology, action research

Research strategy Case study, participatory action research

Methods used Participatory action research, document

and archive analysis, in-depth individual

and group interviewing

The researcher’s philosophical commitments are discussed and explained in more

detail in the next section of this chapter.

Philosophical commitments

When designing a research programme, Patton (1990) states that it is important to

understand the methodological paradigms debate in the field of social inquiry in

order to appreciate the different choice of methods and perspectives (worldviews or

paradigms) available to a researcher. There are two major and opposing perspectives

on which research into social inquiry is based, the Positivist paradigm and the

Phenomenology paradigm. There are a number of other research perspectives

available to a researcher (see Denzin and Lincoln, 1994, pg. 13), but for the purpose

of this research the more traditional perspective of Positivism is outlined and

contrasted to the alternate perspective of Phenomenology.

Bryman (1988) argues the nature of the inquiry should determine the research style

and Henwood and Pidgeon (1992) suggest:

“Framing the distinction between quantitative and qualitative research in terms of these two epistemological poles is important in alerting us to the fact that there are competing claims regarding what constitutes warrantable knowledge” (Henwood and Pidgeon, 1992:99).

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Hartley (1994) importantly argues that techniques are not of themselves positivist or

phenomenological, it is how the techniques are used and how the data is interpreted

that defines the epistemological assumptions on which they are based. The

distinctions between positivism and phenomenology research philosophies are

outlined in Table 4, next.

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Table 4: Positivism and phenomenology research philosophy (adapted from Gill and

Johnson, 1991 and Easterby–Smith et. al., 1991)

Positivism – Deduction Phenomenology - Induction

Basic beliefs • Explanation via analysis of causal relationships and fundamental laws.

• World is external and objective.

• Observer is independent. • Science is value free.

• Explanation of subjective meaning held by subjects through understanding.

• World is socially constructed and subjective.

• Observer is part of what is observed.

• Human interests drive Science.

Researcher should • Use various controls,

physical or statistical, to allow the testing of hypotheses.

• Use highly structured research methodology to ensure above.

• Formulate hypotheses and test them.

• Reduce phenomena to simplest of elements.

• Be committed to research everyday settings, to allow access to, and to minimise reactivity among the research subjects.

• Use minimum structure in research methodology to ensure above.

• Develop ideas through induction from data.

• Look at the totality of each situation.

Preferred Methods • Generation and use of

quantitative date. • Operationalisation and

measurement. • Large samples. • Generalisation. • Rigour and Validity.

• Generation and use of qualitative data.

• Multiple methods / viewpoints.

• Small in depth samples. • Context-bound

understanding.

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• Trustworthiness, utility and triangulation.

There are two major perspectives on research, positivism and phenomenology. The

positivist position claims that all sciences, including the social sciences, are

concerned with developing explanations in the form of universal laws or

generalisations. Any phenomenon is explained by demonstrating its reference to a

specific law. The laws are of the form of constant conjunctions between events, or in

the case of social sciences, statistical correlations or regularities (Blaikie, 1993). In

contrast, the phenomenological approach states that reality is socially constructed

rather than objectively determined. The focus here of the inquiry is on inductively

understanding what is happening and why, by collecting and understanding data

from social interactions.

In the phenomenological approach to social inquiry, the social sciences are applied

to social phenomena and theory is generated from and grounded in, the data

collected (Glaser and Strauss, 1967). Qualitative methods allow researchers to

develop “theoretically grounded critical accounts of “what happens” which lead to

an understanding of both practice and generalisable “underlying social processes”

(Finch, 1985: 114).

As stated earlier, the public sector organization requested this researcher to act as

facilitator in a participatory action research programme to review their strategizing

process. In parallel with this aim, the research that is reported here, had a separate

aim, which was to address the following research question:

How does government cascade strategy from a middle management

perspective in a local government authority?

The research approach was phenomenological. A phenomenological approach

suggests that reality may be seen to be socially constructed, not objectively

determined. The observer was part of that observed. The research focused on

meanings to understand what was happening. This research did not gather data and

measure how often patterns occur which is the approach of a positivistic

methodological paradigm. This research appreciated the different constructions and

meanings that people placed upon their experience (Easterby-Smith et al. 1995).

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Empirical data was captured by participatory action research; individual interviews;

group interviews; document and archival analysis. The phenomenological research

method paradigm described above is shown in Table 5, next.

Table 5: Key features of phenomenological methodological paradigm (Easterby-Smith

et al. 1995)

Feature Phenomenological Methodology

Basic Belief The world was socially constructed and

subjective. The observer was part of what

was observed. Science was driven by

human interests.

Researcher’s role Focused on meanings. Tried to

understand what was happening.

Developed ideas through induction from

data.

Methods Used multiple methods to establish

different views of phenomena. Small

samples investigated in depth or over

time.

The interpretivist research commitment of the researcher is now explained in more

detail. Whilst the purpose of positivism, may be to offer causal explanations,

interpretivism aims to understand human action (Schwandt 2000). Understanding

requires interpretation. This researcher’s epistemological position is interpretive,

philosophical hermeneutic and constructivist (explained in next section). The

researcher is not an uninvolved observer in the research herein reported. Inherited

bias and prejudice shape a researcher and how they understand the world (Gallagher

1992). Understanding requires the engagement of a researcher’s bias (Schwandt

2000). Sense-making of a social action or text is temporal and specific to that

occasion (Aylesworth 1991; Bernstein 1983; Gadamer 1975). Meaning is not

discovered, it is mutually negotiated in the act of interpretation (Schwandt 2000).

There is never a final correct interpretation. Knowledge of the social world resides

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in sense-making or meaning-making and cannot be separate from the knower

(Polkinghorne 1989; Salner 1989).

Constructivism

Constructivism is also known as interpretive (Schwandt, 1994) or naturalistic

(Lincoln and Guba, 1985) research. Constructivism views reality as being socially

constructed. Feyerabend (1978) argues that reality can only be constructed

conceptually. People attach different sets of meanings and classifications to the

world due to the fact that different cultures and societies posses conceptual systems

that are not the same. Reality is a cultural interpretation, with the society inviting the

inquirer to view things from a different perspective, not as an absolute truth.

Constructivist researchers reject the notion of objectivity.

Constructivists follow the relativist tradition, where reality is said not to exist outside

of human consciousness. Constructivists believe the researcher’s role is to

understand the multiple social constructions of meanings and knowledge.

Constructivists tend to favour research methods such as interviews and observations

which enable the researcher to acquire multiple perspectives. Research participants

collaborate with the researchers to socially construct their reality. Because there are

multiple realties the research questions cannot be formulated in advance of the

process. Abell and Simons (2000) report constructionists seek to engage participants

in learning processes, as per Table 6, next.

Table 6: Constructionists seek to engage participants in learning processes (adapted

from Abell and Simons, 2000)

Participant Learning processes

1 Heighten the understanding of relational processes and knowledge

management

2 Create venues for the expression of multiple stories

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3 Encourage the participants to reflect upon their beliefs and values and how

they impact on event outcomes

4 Offer a venue for joint collaborative reflection to occur

Positivists view action, and participation, as contamination of research processes and

results. Control, rigour, objectivity and validity preclude traditional inquirers from

voice, reflexivity and issues of textual representation. By contrast, interpretivists,

constructivists and participatory researchers see action on research results as an

important outcome of the inquiry process (Lincoln and Guba 2000). In these new

paradigms, research control is a way to stimulate emancipation, democracy,

community empowerment and redressing power imbalances (Heron and Reason

1997; Mertens 1998). In summary, this researcher’s philosophical commitments are

constructivist with relativist ontology, and subjectivist epistemology. The

researcher’s approach was constructivist because it is this understanding that seemed

best to resonate with the researcher’s view of the world. This researcher’s

constructivist paradigm assumes a relativist ontology (multiple realities), a

subjectivist epistemology (co-created understanding) and a naturalistic set of

methodological procedures.

Qualitative research techniques often focus on constructivist approaches where there

is no clear cut objectivity and social life emerges from the shared creativity of

individuals (Filstead, 1978). Van Maanen (1979) describes qualitative methodologies

as an:

“umbrella term covering an array of interpretive techniques which seek to describe, decode, translate and otherwise come to terms with meaning not the frequency, of certain more or less naturally occurring phenomena in the social world”(Van Maanen, 1979: 520)

Qualitative research is intrinsically subjective (Bryman, 1988). He argues that it is

impossible for a researcher to be objective because his interpretation of events is

influenced by his perspective on life. This view is corroborated by Glouberman

(2003) who states that people are not capable of thinking about anything that does

not fit into their normal view of the world but adds “the more perspectives we can

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imagine, the more channels we can open up” (Glouberman, 2003: 32). Burgoyne

(1994) argues that qualitative methods are flexible, enabling researchers to question

themselves and change the nature of their interventions with emerging insights.

Situations can frequently be complex, making it difficult to define issues at the

beginning of the study.

Qualitative research can generally only take place in natural settings (Denzin, 1971;

Lincoln and Guba, 1985) and focuses on everyday activity as “defined, enacted,

smoothed, and made problematic by persons going about their normal routines” (Van

Maanen, 1983:255). Flyvbjerg (2001:4) believes that “context and judgement are

irreducibly central to understanding human action.” Flyvbjerg further argues that his

perspective on social science is based on a contemporary interpretation of the

Aristotelian concept of phronesis, (variously translated as prudence or practical

wisdom):

“In Aristotle’s words phronesis is a state, reasoned and capable of action with regard to things that are good or bad for man. Phronesis goes beyond both analytical, scientific knowledge (episteme) and technical knowledge or know how (techne) and invites judgements and decisions made in the manner of a virtuoso social and political actor. I will argue that phronesis is commonly involved in social practice, and that therefore attempts to reduce social science and theory either to episteme or techne, or comprehend them in those terms are misguided” (Flyvbjerg, 2001:2).

The philosophical commitments of this researcher lie with the constructivism

approach (Lincoln and Guba 2000). The constructivist epistemology is that

knowledge is deemed to be shaped and formed by social activity (Gephart 2004).

Within that epistemology, the aim of inquiry was to understand how middle

managers in one local government authority understood and made sense of the

approach to strategy as practice. Its quality criteria were trustworthiness and

authenticity. This constructivist research looked at the meaning-making, sense-

making activities as it was these that shaped action. These sense-making activities

can be changed when they are determined to be no longer appropriate. This research

was not ‘value-free’ and the voice as facilitator was as a passionate participator.

Values (axiology) fed in to the research in many ways and have been characterized

(Lincoln and Guba 1985) by choice of the problem, choice of theoretical framework,

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choice of major data-gathering and analysis methods, choice of context, treatment of

values already resident within the context, and choice of presentation format. The

philosophical commitments of the researcher detailed above are summarized in

Table 7, next.

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Table 7: Researcher's constructivist position (Lincoln and Guba 2000)

Item Constructivist position

Inquiry aim Understanding; reconstruction

Quality criteria Trustworthiness and authenticity

Values Included – formative

Voice “passionate participant” as facilitator of

multi-voice reconstruction

Ontology Relativism – local and specific constructed

realities

Epistemology Transactional/subjectivist; created findings

Research Purpose

Robson (1993) states that in addition to the desire to make a contribution to

knowledge the purpose of research may be to either explore, to explain or to describe

a particular event or situation. Exploratory research is exploring subject areas

looking for new insights. It is the discovery of what is happening and asking

questions of new and emerging subjects. Generally, it is qualitative in its approach.

Explanatory research seeks to explain an established situation. Descriptive research portrays an accurate profile of a person, activity or condition. The

researcher must have substantial knowledge of the situation to assist in gathering

information to conduct the research.

The purpose of this research programme is exploratory and explanatory (Robson,

1993). It was exploratory because it sought new insights by asking emerging

questions and assessed phenomena in a new light, based upon mainly qualitative

data. The research programme was also explanatory because it explained the

unintended outcomes of the strategies adopted.

Research strategy

There are three main research strategies to be considered (Robson, 1993), they are

case study, experiment and survey. Experiments test theories and hypotheses

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systematically. The researcher controls and fixes all possible variables within a

controlled environment (usually laboratory). The researcher then manipulates the

variables and measures the effect of the change. Experiments occur through the

direct intervention of the researcher under laboratory conditions (Gill and Johnson,

1991). Surveys entail gathering information from a sample of the larger population

to understand something about that population. This method usually employs the use

of a standardised questionnaire or / and a structured interview, with standard

questions (Robson, 1993). Case studies are empirical investigations “of a particular contemporary phenomenon within its real life context using multiple sources of evidence Robson (1993).” The case studied can

involve one person, a group of people, an institution, or an innovation. The purpose

is to develop detailed information and understanding about a single ‘case’ or of a

small number of related ‘cases’ (Yin, 1989). The method of data collection is via a

number of techniques for example, interviews, observation, and workshops.

Case studies have been used successfully over many years to examine work in

different organisations and academic fields (Bromley, 1986). A case study is a

research strategy, involving empirical investigation of problems within their real life

context using multiple sources of evidence (Yin, 1994). Bromley (1986: ix) argues

“The individual case study or situation analysis is the bed-rock of scientific

investigation”, however this may be a minority view. Nevertheless, Cook and

Campbell (1979) argue the case study as a legitimate approach and Robson

(1993:40) has defined a case study as being the development of detailed, intensive

knowledge about a single case, or a small number of related, “cases.” A case study

can be widely used and answers the why, what and how questions by giving a rich

understanding of the context, content and the processes being used (Morris and

Wood, 1991).

In this research programme, experiments were rejected as not relevant or appropriate

to the research question. It was not possible to control or fix key variables, such as

the political environment, within the organization which was the location for this

research. The case study approach was chosen for this research programme.

Middle Management Perspective

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1994). This group of managers is the focus of the research study herein reported.

Three principle reasons have been identified for taking the middle management

perspective to strategic management research (Wooldridge et al. 2008). Firstly,

middle managers connect disconnected actors and domains (Floyd and Wooldridge

1999; Nonaka 1991). Middle managers can act as sources of resistance (Guth and

MacMillan 1986) or as agents of change (Huy 2002). Secondly, middle management

can be a complement to the view of elites and a key source of organizational

influence on outcomes (Hambrick and Mason 1984). Large organizations cannot be

managed by single actors but must rely upon middle managers as important

mediators (Balogun and Johnson 2004). Thirdly, middle managers may have a

greater role and influence in identifying capability and performance gaps (King and

Zeithaml 2001) and so have the insight necessary to build and renew capabilities

(Wooldridge et al. 2008).

Understanding why some middle managers are more involved in and influence the

strategizing process remains an important research issue (Pappas and Wooldridge

2007). Understanding how managers participate in the strategizing process is a key

part of middle management research (Wooldridge et al. 2008). In their review of

future research requirements, Wooldridge et al set high priority on research in to

agency problems that arise due to middle management gaining strategic influence

without formal authority. This research programme addresses this important issue.

Additionally (Wooldridge et al. 2008), it has been stated that future research should

examine how individual managerial behaviours are connected to group-level

activities and organizational outcomes (Rouleau 2005; Westley 1990). The latter

suggestion informed the development and conduct of the study reported in this

thesis.

Research Type

Pure research aims to expand the limits of knowledge rather than directly involving

the researcher in a particular, pragmatic problem (Zikmund, 1991). The purpose of

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pure research is to lead to theoretical developments, that may or may not have any

practical implications with results often disseminated across an academic audience

(Robson, 1993). Applied social science research is conducted upon a specific

social problem, and is aimed at answering specific questions or in deciding on a

particular course of action (Zikmund, 1991). Dissemination is often to both academic

and wider commercial audiences, and is seen to be more pragmatic in its approach.

Robson (1993) points out however that this categorisation is too rigid to characterise

what happens in most academic disciplines, where, for example, research generates

its own concepts and does not just rely on the application of ‘pure theories’. This

leads to the third research option, known as Action Research, which assumes that

research should lead to change, and that change should be incorporated into the

research process. It rests on the notion that to understand something well, you should

try changing it, and understand how a phenomenon develops over time. Or,

“One begins with the assumption that one cannot understand a human system without trying to change it. The essential dynamics of the system are assumed to remain invisible to the passive observer. Only by becoming a member of the system and learning over a long period of time how it operates could the passive observer decipher it” (Schein, 1989).

This research programme adopted an applied, action research approach (Robson,

1993). It is applied research because it seeks to solve an organization’s problem.

The method will be action research to resolve an issue that is of genuine concern to

the organization and the research participants in which there is an intent by all to

take action based upon intervention. The research will not be pure research.

Action Research

Action research is deliberate, solution-oriented investigation that is group or

personally owned and conducted. It is characterized by spiraling cycles of problem

identification, systematic data collection, reflection, analysis, data-driven action

taken, and, finally, problem redefinition (Kemmis & McTaggart, 1988). Cohen et al

(2000) highlight the vast range of possibilities for the use of action research:

‘The scope of action research is impressive. Action research may be used in almost any setting where a problem involving people, tasks

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and procedures cries out for solutions, or where some form of change of features results in a more desirable outcome.’ (Cohen et al, 2000: 226).

Action research participants are deeply involved in all aspects of the research process

− from creative thinking about what goes into the endeavour, to decision-making

and contributing to the action which is the subject of the research. Baldwin (2001)

makes this point:

Relationship is fundamental to the creation of reality, and a [method] that separates the researcher from the researched denies that relationship. Ontologically, such a process would invalidate knowledge created, because it would not construct a reality that has meaning for the subjects of the research. (p. 289)

What is not Action Research? Ferrance (2000) stated:

Action research is not what usually comes to mind when we hear the word “research.” Action research is not a library project where we learn more about a topic that interests us. It is not problem-solving in the sense of trying to find out what is wrong, but rather a quest for knowledge about how to improve. Action research is not about doing research on or about people, or finding all available information on a topic looking for the correct answers. It involves people working to improve their skills, techniques, and strategies. Action research is not about learning why we do certain things, but rather how we can do things better.

Influence and the instigation of change is the purpose of action research (Argyris et

al., 1985). Each geographic continent, each field and each philosophical stance have

interpreted action research in many ways and with a wide variety of different labels.

However, three themes have emerged. The research purpose and the management of

change (Cunningham, 1995) is first, followed secondly by the close collaboration of

the researcher and the practitioners as joint participants in the research. These first

two themes mean that the findings from the action research programme result from

the researcher’s involvement with members of an organization on a matter of

genuine concern to the practitioners (Eden and Huxham, 1996). The researcher is

therefore an active participant in the organization within which the research and

change take place (Zuber-Skerritt, 1996). The third and final theme is that the action

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research should have implications beyond the research programme by informing

other contexts.

Participatory Action Research

A key feature of action research is the collaboration between researchers and

practitioners and this collaborative form of action research has been called

participatory research (Park, 1993), or participatory action research (Selener, 1997).

There are many different methodologies and methods within action research and

participative action research. This section reviews different phenomenological and

interpretive research methods.

Lewin (1948) defined a process consisting of four steps to conduct action research in

a natural setting.

“Lewin is credited with coining the term ‘action research’ to describe work that did not separate the investigation from the action needed to solve the problem” (McFarland and Stansell, 1993, p14)

The four stages were plan, act, observe and reflect. This was a spiralling, non-linear

pattern of planning, action, and fact-finding upon the results (Noffke and Stevenson,

1995). Action research is the combination of an intellectual process (acquisition of

knowledge) and the practical action (application of that knowledge in its natural

environment). The ‘simple’ model from Lewin has been built upon and refined by

different action research practitioners. McKernan (1991, cited in Cohen et al, 2000:

235) represented the spiralling process as each one consisting of:

‘Cycle of analysis, reconnaissance, re-conceptualisation of the problem, planning of the intervention, implementation of the plan and subsequent evaluation of the effectiveness of the intervention’ (Cohen et al, 2000: 235).

Reflection upon feedback between the stages is seen as being essential (Ebbutt,

1985). This is confirmed in another four-stage model (Altricher and Gstettner,

1996). They argued that first a starting point for the research must be established.

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Secondly, the situation to be researched must be clarified. Next, the action strategy

is developed and implemented. The fourth and last stage is to make the participants’

knowledge public.

The original four-stage model has evolved in to an eight-stage model by Cohen et al.

(2000), as shown in Table 8.

Table 8: Eight-Stage Action Research Method (adapted from Cohen, et al, 2000: 235-7)

Stage Details

1 Identification Identification of problem for review

2 Preliminary discussion Confirm problem exists with stakeholders

and agree a research process can be

established

3 Literature review Analysis of previous research on the topic

4 Modification/redefinition Modify or refine research question

following review of literature

5 Selection of research

procedures

Appropriate research methods chosen

6 Evaluation procedures Definition of evaluation process

7 Implementation Implementation and collection of data

8 Data Interpretation Inferences, conclusions and rationale for

future research

The field of participatory action research includes several different approaches to

inquiry. The field includes action learning and action science, as well as

participatory action research. Action learning is used to solve the problems of

organizations and is achieved through a group of people who learn from each other’s

experience. They study their own situation, define the organization’s desired

outcome and seek to remove obstacles (Clark 1972; Pedler 1991; Revans 1980,

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1982). The emphasis of action learning upon efficiency ignores the deeper values

and social purposes of the organization and those of the participants that may differ

at different hierarchical levels and geographic locations. Action learning also denies

a critical perspective by bowing to the solutions and reasoning of others (Kemmis

and McTaggart 2000).

Action science differentiates two aspects to professional knowledge. The first is

formal taught knowledge which all members of the profession receive and in to

which they are inducted. The second aspect of professional knowledge is

interpretation and enactment. Action science distinguishes between theory

(espoused theory) and practice (theories in use) so that gaps are revealed. The gaps

are then subjects for change. Action science develops reflective practitioners

(Argyris 1990; Argyris et al. 1985; Argyris and Schon 1974, 1978; Reason 1988;

Schon 1983, 1987, 1991).

The initial sense-making processes of the participatory action research team, when

the participants tried to make sense of their situation and define their problem has

strong parallels with the action science approach to participatory action research.

Action science focuses upon the gaps between formal professional knowledge and

that of interpretation and enactment, espoused theories and theories in use. A key

focus of the research was to analyse the gaps between theory and practice and help

the professionals to unmask the cover-ups in place (Kemmis and McTaggart 2000).

Elsewhere, the research method stages have been defined by posing the questions

each stage seeks to answer (Friedman, 2006: 133), as per Table 9, next.

Table 9: The research method stages defined by posing the questions each stage seeks

to answer (Friedman, 2006: 133)

Question

1 How do actors perceive the situation or the problem?

2 What results do they wish to achieve (i.e., objectives)?

3 What strategies do they intend to use in order to achieve these objectives?

4 What strategies do they actually produce in action?

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5 What were the actual outcomes of these strategies?

6 To the extent that these outcomes were unintended (i.e. did not match the

desired results), what might account for this mismatch?

Friedman (2006) argues that these questions can lead to detailed, context-rich

theories in practice which reflect recurrent patterns of behaviour by individuals or

organizations. These patterns can be graphically illustrated in the form of ‘maps’

(Argyris and Schon, 1978; Argyris et al., 1985; Friedman and Lipshitz, 1994; Weick

and Bougon, 1986). The method and set of questions put forward by Friedman

(2006) enable the gap between social science theory and social science-based

professional practice to be established (Schon, 1983,1987). This is the approach

adopted in this research programme.

Critiques of Action Research

Habermas (1972) rejects the notion of action research. Habermas maintains that the

development of theory and the development of practice are two completely different

activities. Habermas argues that in developing practice the aim is to achieve a form

of worldly success. Whilst, in the development of theory the aim is to reflect or

interpret the truth. These two separate activities require different mindsets.

Habermas’ criticism is based upon his argument that society is oppressed and the

route to society’s liberation is through the development of theory out of which new

practices may emerge.

Action research is premised on the belief that if practitioners are involved then the

decisions will be better informed and more effective practices engaged. The

practitioners will gain a better understanding of their context and practices. It was

precisely for these reasons that the researched organization requested an action

research programme. This research programme is conducted from a constructivist

stance and so Habermas’ argument is rejected for this study.

The Study of Practice and Participatory Action Research

A different approach to participatory action research can be adopted depending upon

the researcher’s philosophical approach variously labelled: positivist, interpretist,

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radical humanist (Burrell and Morgan 1979), or empirical-analytic, hermeneutic,

critical (Habermas 1972), or technical, practical, emancipatory (Kemmis 2006).

These different approaches will now be explained.

Participatory action research integrates research with an action orientation to solve

an organisational problem (David 2002). The various definitions of action research

are broadly divided by two aspects. First, they follow the sociological paradigm

splits (Burrell and Morgan 1979). Second, in line with this split is the differentiation

of focus between improving the process (positivist), improving the decision-making

process of the participants in the process (interpretivist) and social movement,

changing the context (critical post-modern) (Kemmis 2006).

McKernan defined the action research process as self-reflective problem-solving

with the goal being to understand and solve problems in social settings (McKernan

1988). This definition was subsequently extended so that the process was collective,

collaborative, self-reflective and critical, and undertaken by the participants

(McCutcheon and Jung 1990). The goal was the understanding of practice, the

articulation of a rationale of practice, and the improvement of practice (McCutcheon

and Jung 1990).

In the study of practice, this research took the subjective view of practice. This is the

way individual practitioners’ intended actions appear to them. It is the practitioner’s

subjective perspective of practice based upon their intentions, shaped by meanings,

judgements and values (Kemmis and McTaggart 2000). This approach can be traced

back to Aristotle in Western philosophy. Practice is the judgement of people acting

in situations in which they are obliged to act even though it is uncertain and never

fully justified according to technical rules or principles, but reflects the person’s best

judgement (Kemmis and McTaggart 2000).

A critical approach to the study of practice and participatory action research has been

led by Kemmis and although this researcher was influenced by the author and his

approach, the approach taken in this study, and now explained, is practice reason and

not critical reason (Kemmis 2006). There are different understandings and

approaches to the social relationships in the study of practice. The social relations

will involve technical, practical and critical reasoning about practice. Technical

reason is employed when attempting to improve efficacy or efficiency of the means

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to achieve prestated and accepted goals. The ends are not in question only the means

to those ends (Kemmis and McTaggart 2000). Proponents of technical reason

usually see their work within the traditional scientific approach and view their

research subjects as objects and not knowing subjects. Technical reason aims to

achieve control. Practical reason treats both the means and the ends as problematic.

Objects of its study are knowing subjects whose actions are influenced by their

reasons and perspectives that can change if and as they gain a richer understanding

of their situation and its context. It does not aim to control but to educate the

practitioners to better understand the consequences of their actions. Critical reason

aims to understand how things evolved as a consequence of choices and then to

consider how the practitioners could have different choices from those that were

forced upon them by the way things are currently (Kemmis and McTaggart 2000).

The research herein reported took a practical reasoning approach to social

relationships, a practical view of the purpose of the research.

The term practice means something different to each methodological paradigm. The

constructivist paradigmatic aspect of practice emphasised in this investigation was

the way individual practitioners’ intentional actions were based upon the subjective

meanings and values of the practitioners. The focus was on the individual’s meaning

and values which shaped intentional action and not the social discourse (Kemmis and

McTaggart 2000). The constructivist methodological paradigm of this research

understood behaviour was shaped by values, intentions and judgements of the

practitioner. This understanding of praxis can be traced back to Aristotle as the

exercise of human judgement by practitioners that reflected the best judgement of the

practitioner.

The positivist approach to action research focuses upon improving the practices of

the participants (Kemmis 2006). The positivist, empirical-analytic, technical

approach is about getting things done effectively (Kemmis 2006). It is action

research that produces functional improvement through changing outcomes of

practices (i.e. ‘increase production rate’). This approach does not question the goals

themselves, nor the social context (Kemmis 2006).

The interpretivist, hermeneutic, practical approach is about wise and prudent

decision-making in practical situations (Kemmis 2006). It is participatory action

research that informs the practical decision-making of practitioners. This approach

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aims to improve functional practices as well as to understand themselves within the

context (Kemmis 2006). Unlike the positivist, technical approach described above,

the interpretivist and practical participatory action research practitioners aim to

understand themselves within the context as well as the outcomes of their practices.

The critical, emancipatory approach aims to emancipate people from determination

by habit, custom, illusion and coercion (Kemmis 2006). This approach to action

research reconstructs the practice, the practitioner and the practice setting. It helps

practitioners to develop a critical and self-critical understanding of their situation

(Kemmis 2006). The Critical, Emancipatory Action Research (‘CEAR’) approach

also seeks to improve outcomes and self-understandings of practitioners but in

addition it seeks to assist practitioners at critiquing their work setting. CEAR aims

to make strong and explicit connections between action research and social

movement. When successful, it helps people understand themselves as agents of, as

well as products of history (Kemmis 1993).

The three different philosophical approaches to action research are summarised in

Table 10, next. The research reported herein takes the interpretivist approach.

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Table 10: Three philosophical approaches to action research (Developed for the

purposes of this thesis)

Author Framework

(Burrell and Morgan

1979)

Positivist Interpretist Radical Humanist

(Habermas 1972) Empirical-analytic Hermeneutic Critical

(Kemmis 2006) Technical,

instrumental, or

means-ends (getting

things done

effectively)

Practical interest

(wise and prudent

decision-making in

practical situations

Emancipatory

(emancipating

people from

determination by

habit, custom,

illusion and

coercion)

Action research that

produces functional

improvement

through changing

outcomes of

practices (i.e.

increase production

rate)


informs the practical

decision-making of

practitioners. Aims

to improve

functional practices

as well as to

understand

themselves within

the context


reconstructs the

practice, the

practitioner and the

practice setting.

Helps practitioners

to develop a critical

& self-critical

understanding of

their situation.

Does not question

the goals themselves,

nor the social context

Unlike Technical

action research

practitioners, aim to

understand and

change themselves

as well as the

outcomes of their

practice

Critical,

emancipatory action

research reconstructs

the work, worker and

workplace.

Within the participatory action research field there are three different approaches:

first, second and third-person research (Reason and Bradbury 2006). All three

approaches will be integrated within the client’s participatory action research

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programme, as explained next, although only the second-person research is reported

here.

All participants will be encouraged to follow a first-person practice. This practice

fosters an inquiring approach to their own life, to be aware of actions and choices

and to assess consequences of their actions on the outside world (Reason and Torbert

2001). This self-questioning inquiry elicits the inquirers interests and priorities,

clearer understanding of the frameworks through which life and contexts are viewed,

a greater awareness of personal behaviour in response to phenomena being studied,

and their implications within the greater environment (Reason 2001). Five

interrelated behaviours of first-person participatory action research have been

identified (Marshall and Mead 2005). Supported by participation in co-operative

inquiry, they may enhance the integrity of insights achieved in the first-person

inquiry. The five encouraged behaviours are living in the inquiry; practising new

behaviours; reflecting-in-action; conceptualizing new learning about one’s identity;

and staying present to a range of emotional responses (Marshall and Mead 2005).

Methodological frontiers in studying strategizing have been identified as three

approaches (Balogun et al. 2003). They are interactive discussion groups, self-

reports and practitioner-led research. These authors acknowledge that action

research is a possible answer but offer their three approaches as being less time-

consuming. The participatory action research described in this thesis incorporated

all three of their suggested methodological approaches. However, the self-reports

(first-person approach) became personal diaries and so led to an alternative research

study not included in this thesis.

The research study reported herein focuses upon the second-person approach.

Second-person participatory action research focuses upon inquiry with others to

improve personal and professional practice. This inquiry includes interpersonal

dialogue and the development of communities of inquiry and learning organizations

(Reason and Torbert 2001). Third-person participatory action research aims to

create a wider community of inquiry. This can be achieved by the writing and

reporting of the processes and outcomes of inquiries (Reason and Torbert 2001),

such as this document and future publications. The second-person participatory

action research approach is reported in this document.

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More recently, scholarly strategic management research has grown enormously in

confidence and stature (Hoskisson et al. 1999; Mahoney and McGahan 2007).

Comprehensive reviews of research have been completed, past and current research

trends have been identified (Herrmann 2005; Hoskisson et al. 1999; Mahoney and

McGahan 2007). In 2009, a special issue of the International Journal of

Management Reviews brought together a team of prominent scholars in the field of

strategic management to review and indicate future research opportunities (Mellahi

and Sminia 2009).

Mellahi and Sminia (2009) point out that the rational agency approach to strategic

management was seen to be more theoretical than empirical (Bower 1970; Cyert and

March 1963; March and Simon 1958; Mintzberg 1973a; Pettigrew 1985; Quinn

1980). A consistent pattern started to emerge from the empirical research of

strategizing not being dependent upon analytical strategy formation and

implementation but processes in which internal politics, organizational culture and

management cognition dominated (Mellahi and Sminia 2009). Research on the

processes of strategizing was revealing significant variance from the theory. A new

group of scholars who focus upon the individuals who practice strategic management

has now joined this process approach. The approach is called strategy-as-practice

(Jarzabkowski 2005; Whittington 1996).

In the Strategy-as-Practice literature (Jarzabkowski and Spee 2009), the importance

of developing practice-based links between micro and macro-phenomena was

highlighted. The research programme undertaken for the purposes of this thesis

deliberately identified links between the micro and macro phenomena. The ‘micro’

activities of the individual strategy practitioners was linked to the government

policies and their implementation. The review of the literature explored the

individual strategic objectives, the macro phenomena in the form of UK government

policies and strategies, Welsh National Assembly Government policies, local

policies and influences from other government agencies and professional bodies.

Empirical, practice-based research is still relatively novel as the practice-turn

originated only in the past decade and the nature of the research necessitates

significant investment of time. There is a research gap when it comes to considering

strategy practitioners as not just individuals but classes of practitioners. The concept

of extra-organizational actors as strategy practitioners also needs further

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investigation (Jarzabkowski and Spee 2009). The research programme herein

reported looked for extra-organizational actors who influenced the community

strategy and looked at the classes of practitioners within the organization serving as

the research site.

There are gaps in the study of institutionalised strategy practices and the ways in

which they constitute a profession of strategy (Jarzabkowski and Spee 2009). The

organization in the research herein reported was identified to have an

institutionalised strategy practice. The benefits and limitations of this

institutionalised strategy practice were explored and highlighted along with their

implications.

A review of the process research approach to strategizing (Sminia 2009) identified a

gap addressed by the research study. A move is required from basic description to a

form of normative prescription – that is, having understood how a strategy is realized

explain how to realize a successful strategy. The discussion and conclusions from

this research thesis goes some way towards explaining how to realize a successful

strategy.

Participatory action research will not fit a linear pattern or recipe (Dick 2002). By its

very nature, participatory action research spirals through several plan-act-observe-

reflect cycles. So, whilst the direction is clear, the actual route is discovered along

the way. It emerges in the form of evolutionary research (Herr and Anderson 2005).

Grounded theory develops theory through the comparison of data (Glasser and

Strauss 1967). Like a lot of grounded theory research, participatory action research is

data-driven and not theory-driven. The alternative theory-driven (positivist)

approach would be to start with a theory or hypothesis and then seek data to confirm

or disconfirm the theory (Easterby-Smith et al. 1995). Action research is driven by

the data. As data is collected (‘plan-action’), it is analysed (‘observe-reflect’) and

may cause the specific research question to change, or the research method and

participants may change (Herr and Anderson 2005). Through each successive plan-

act-observe-reflect cycle, the understanding of ‘the problem’ both deepens and

widens. As these cycles spiral, the research question is refined or changed, new

literature is reviewed in line with this new understanding and new research methods

may emerge (Herr and Anderson 2005). The role of literature in action research is

discussed in more detail within the next section, data collection.

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Data Collection

There are two distinct methods for data collection and analysis (Robson, 1993).

These two different methods reflect the underlying different philosophical

commitments. One method is to collect the data and then analyse it. This is typical

of a positivist, quantitative approach. The alternative approach is that the data

collection and analysis can be a concurrent process. This is more typical of a

phenomenologist, qualitative approach. This research study followed the qualitative

data collection method consistent with the phonemonological action research

approach adopted. The differences between the two different approaches to data

collection are shown in table 11.

Table 11: Comparison of Quantitative and Qualitative Data Collection Methods

(Bouma and Atkinson, 1995)

Research Aspect Quantitative Qualitative

Relationship between researcher

and subject

Distant Close

Research strategy Structured Unstructured

Nature of data Hard and reliable Rich, deep

Relationship between theory and

research

Confirmation Emergent

The role of Literature in Action Research

‘I initially developed a format for the thesis and commenced the task of writing up the study, based on the accepted sequence, and academic norm, of literature review, methodology, research design, findings and conclusions. However, the cyclical and evolving nature of action research meant that new areas of literature were constantly added to the research process, new data kept on being generated, and new meanings and additional lines of inquiry were regularly suggested’ (Davis, 2004: 15)

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Richardson (2000) states that the conventional approach to writing in social science

research has been a linear function. The writer is discouraged from writing until

they know all of the key points. However, Richardson continues:

The model has serious problems: it ignores the role of writing as a dynamic, creative process; it undermines the confidence of beginning qualitative researchers because their experience of research is inconsistent with the writing model; and it contributes to the flotilla of qualitative writing that is simply not interesting to read because adherence to the model requires writers to silence their own voices and to view themselves as contaminants. (p. 925)

The traditional five chapter model (Introduction, literature review, methodology,

findings, discussion and conclusions) is only one possible format (Winter, 1996). He

goes on to encourage action research reporters not to be overawed by the cultural

authority of the scientific expert and should resist the scientific format and rhetoric.

Both Dick (1993) and Winter (1996) maintain that action research reports require

different ways of writing because action research is a continuously changing inquiry,

with understandings and actions being provisional. Both the context and the

research have no end-state, and so the action research thesis can only ever be a

provisional and incomplete account of the research programme (James, 1999).

Winter (1996) views action research reports pluralistically, stating they are more like

a collage than a description. This is supported by Denzin and Lincoln (2000) who

describe the researcher as a ‘bricoleur’ or quiltmaker. “There is no single way –

much less one ‘right’ way – of staging a text” (Richardson, 2000: 936).

Literature was accessed continuously throughout the research process. Review of

the literature was triggered by queries and questions emerging from analysis, or the

desire to search for confirming or disconfirming perspectives about what the data

suggests (Dick, 1993). Dick further argues that the search for disconfirming

evidence and argument in the literature, when the researcher is tentatively making

interpretations, will aid the researcher to reach conclusions more confidentally and

so actions are better informed. Winter (1998) calls this process ‘dialectic analysis’

and being ‘theoretical’ about the data, contemplating it, speculating about it, and

placing it in a wider context. Richardson (2000) describes a similar process as

‘crystallization’. This process of generating interpretations, ideas and actions from

both evidence and from the literature is a major research strategy of action research

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(Davis, 2004). Literature was viewed as data in the action research cycles of this

research study.

Validity and Reliability

It is essential to a social inquiry to demonstrate that the methods used were reliable

and the conclusions valid (Silverman, 2000). Trustworthiness of qualitative research

can be a contentious issue because some scholars only find research credible or

trustworthy if it fits their prejudices. For example, a more extreme relativist stance is

taken by Wolcott (1994) who rejects the notion of evaluative criteria such as

reliability and validity because of the inappropriateness of its privileged position.

Lincoln and Guba (1985) avoid the terms validity and reliability, preferring instead

‘credibility, transferability, dependability and conformability’.

Validity tests that the researcher has measured that which they intended, and

reliability is the consistency of findings and whether the research could be duplicated

with the same conclusions (Hopkins, 1985). Relevant to exploratory research, Yin

identifies three forms of validity – construct validity, external validity and reliability.

Construct validity is the degree of certainty that the phenomenon has been

appropriately measured and studied. External validity is the confidence that the

findings can be generalised beyond the immediate case. Reliability is the conviction

that the research findings are repeatable.

Personal Bias

Bias is the main validity concern for the type of research conducted in this research

study. There are three possible biases (Robson, 2002): reactivity, respondent bias

and researcher bias. Reactivity is concerned with the way in which the researcher’s

presence may influence the behaviour of the other study participants. Respondent

bias includes obstructiveness and the withholding of information if the researcher is

perceived as a threat. Researcher bias can be caused by assumptions and

preconceptions by the researcher which may affect the researcher’s behaviour, the

kinds of questions asked or the selection of data for reporting and analysis. The

researcher must be aware that their judgement may be affected through their close

relationship with the participant group (Cohen et al, 2003).

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The collaborative nature of participative action research lessens any biased impact of

the presence of the researcher as they are accepted as democratic and unthreatening

equals. Equally, the collegiate team approach of participatory action research means

that peer pressure will reduce respondent bias by any member of the action research

team. As an equal member of the research team, the researcher will, like all other

members, have their assumptions and preconceptions challenged by peer review.

Respondent validation, in which the researcher returns their findings to the

participants for verification, was routinely followed in this study.

Triangulation

Triangulation is the use of two or more data gathering methods in order to validate

the phenomenon under investigation (Hitchcock and Hughes, 1989). Denzin (1988)

has identified four types of triangulation: data, observer, methodological and theory.

In this research study, data was collected by more than a single method (interviews,

action research cycles, documents, archival material, observations). Every member

of the action research teams was an independent observer and provided peer review.

At the conclusion of the action research cycles reported in this research study, the

interpretations and understandings of the action research teams were confirmed with

the departmental staff and management. Equally, there were regular reviews of the

research in presentations to academic research communities.

Alternative research methods considered

Interviews

Interviews were used throughout the research design. Initially interviews were used

with members of the senior management team to identify a significant problem of

concern to them for this action research programme. Subsequently, during the action

research cycles, interpretations and understandings were confirmed in interviews

with the relevant senior managers.

Workshops

If the action research cycles are disregarded as forms of workshops, then workshops

were only used with departmental staff from within the researched organization to

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validate and confirm the data, interpretation and understandings of the action

research teams.

Survey Questionnaires

‘Survey research is the method of collecting information by asking a set of preformed questions in a predetermined sequence in a structured questionnaire to a sample of individuals drawn so as to be representative of a defined population’ (Hutton, 1990: 8).

As this was an exploratory inquiry with no hypotheses to test, it was not possible to

pre-forecast the relevant questions. The use of survey questionnaires for the method

was rejected in favour of semi-structured interviews.

Observation

This technique is highly subjective as it is describing behaviour by others through

the perceptions and bias of the researcher, although, as it can record peoples’ actions

in their natural environment it has an appeal (Robson, 1993). Observational methods

require disciplined training and rigorous preparation (Patton, 1990). Robson (1993)

describes a participant observation as a qualitative style with roots in anthropology

studies. As a participant in the action research programme reported herein, the

researcher was observing the other participants, their processes and the organization

which formed the context of the study. However, the learning and personal

development of the actors participating within an action research programme more

closely met the requirements of the organization studied and the research criteria.

Observation, therefore, formed only part of the participatory action research process.

Documents

Whenever possible, documents and archival retrieval was carried out to provide data

input, along with other literature reviewed and also to validate and triangulate the

research. Document collection and analysis formed a continuous role in the action

research cycles. Documents were therefore part of the action research process.

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Ethical Considerations

There are four ethical considerations (Bogdan and Bicklen, 1992): participant’s

anonymity, participant co-operation and disclose to them of the nature of the

research, honour any contract with the programme’s sponsors, and the researcher has

a duty to report accurate findings. In this research study, all of these four points

were included in the study protocol (copy included in Appendix One to this

document). In the study protocol (Yin, 1994), informed consent was obtained from

all interviewees and action research participants at the beginning of every meeting.

The selected Research Approach

This chapter has worked its way from a statement upon the researcher’s

philosophical commitments, through the choice of research style, the purpose of the

research, the research strategy and the research type. These are summarised in Table

10.

Table 12: Selected Research Approach (Developed for the purposes of this thesis)

Research Question How does government cascade strategy from a

middle management perspective in a local

government authority?

Philosophical Commitment Phenomenology

Research Style Qualitative

Purpose of Research Exploratory

Research Strategy Case Study

Research Type Action

The researched organization requested a participatory action research approach to aid

their learning. Participatory action research can be understood as a variant of a case

study and a field experiment (Galliers 1992). Following the constructivist paradigm

described within this chapter, there is not a single universal approach to all problem

situations (Galliers 1994). The case study methodology is suitable as it is possible

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for a single case study or a limited number of case studies to identify general

properties (Baskerville 1996; Berg et al. 1995; Fleck 1979; Galliers 1994;

Gummesson 1991). Participatory action research is an appropriate method for

generating theory (Glasser and Strauss 1967; Kjellen and Soderman 1980) while

expanding scientific knowledge (Baskerville 1999). Participatory action research

permits intervention by the researcher into the events. In most instances, planning

and recording interventions for evaluation purposes forms the essential mechanism

of participatory action research. Participatory action research represents a highly

unstructured field experiment (Galliers 1992).

This research is a variant of a case study. Data has been collected for the period

(1999 to 2005) comprising four years retrospective data plus two years of real-time

observation through participatory action research. Separate case studies of

departments (secondary units of analysis) are embedded in the overall service area

case study (primary unit of study). This allows contextual data at multiple levels to

be gathered about the wider organization, whilst maintaining focus upon the primary

unit of analysis, which is the main service area (Yin 1994).

The participatory action research methods evolved from the view that research

should lead to change and therefore change should be an integral part of the research

process itself (Easterby-Smith et al. 1995). If somebody really wants to understand

something well they should try changing it (French and Bell 1978; Holmen 1979),

this is what participatory action research does. Participatory action research stresses

the importance of collaboration between the researched and the researcher

(Baskerville and Myers 2004) so that a shared understanding develops (Reason and

Rowan 1981).

Methods used, Validity and Trustworthiness

The Leisure service area was the subject of this case study and its main departments

of Administration, Leisure Centres, and Libraries. All middle managers from these

three departments participated in the participative action research. There were three

Administration managers, four leisure and four library managers. They were not a

representative sample, they were the whole cohort. The aim of the participative

action research method adopted for this research study was to answer the research

question by revealing any gaps between the espoused theory and practice. Five

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individual interviews were carried out with the members of the senior management

team. Each interview lasted, on average about 90 minutes. Open-ended questions

were used, which were a consistent set of prompts to which participants could

respond in detail (Giola and Thomas 1996). Subsequently, group interviews were

conducted with the teams that reported directly to each of these senior managers.

Action research projects were then carried out with three teams of middle managers

from different service departments. The research unit of analysis was middle

management, in line with the research question:

How does government cascade strategy from a middle management perspective in

a local government authority?

The case study results were presented to the senior management of the service area

(primary unit of focus) to check for any omissions and factual accuracies, therefore

providing internal validation of the findings (Miles and Hubermann 1994).

Documentary data were collected, including archived documents. Typically, the

data sources included emails, instructions, reports and publications. Secondary data,

including UK and Welsh Assembly government policy documents and government-

initiated inquiries and reports were accessed. All of this documentation was used to

triangulate the data collected from the participatory action research teams. As per

the study protocol, care was taken at each stage of the data collection and analysis to

ensure triangulation of data, in recognition of the possibility of researcher and

informant bias. Triangulation helps to assemble a more complete and accurate

picture of practices through converging sources of evidence (Eisenhardt 1989b);

(Jick 1979), (Yin 1994). These multiple sources were designed to counteract any

potential bias as a result of relying upon a single source of data (Denzin 1989;

Eisenhardt 1989b), especially where retrospective analysis is concerned (Golden

1992).

The participatory action research cycle of planning, acting, observing and reflecting

is not often as neat or progressive as suggested. Each phase may cycle back and

forth through these steps and the conclusions may be that the next phase may need to

address a different problem with different participants using a different research

approach. It does not matter if the participants have faithfully followed the steps or

not. The success criterion is whether the participants have a sense of development in

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their practices, their understandings of their practices and the contexts of their

practice (Kemmis and McTaggart 2000). The research method adopted will identify

any gaps between espoused theory and practice by using the six question method in

preference to the alternative action research methods discussed in this chapter.

The development of a protocol for the investigation was a critical step before data

was collected (Yin 1994). Yin developed the protocol as a way of dealing with the

problems of reliability. This protocol contained the instrument as well as the

procedures and general rules. It summarised the field procedures and the steps to

obtain informed consent of all the participants. Informed consent was obtained

before each interview. A copy of the study protocol can be found at Appendix One.

The study protocol outlined the purpose of the collaborative field research for the

benefit of the participants. Under procedures, it detailed the initial scheduling of

field visits and the determination of persons to participate. In addition to specifying

that informed consent would be obtained from participants, it clarified who was

conducting the research, what was required, and it emphasised that each participant

was a volunteer and may withdraw at any time. Participants were assured of

confidentiality and that specific comments would not be attributed to individuals.

Permission to record was requested from all participants before commencement.

Any questions from the participants about the research were answered by the

researcher before beginning the session.

The details of the participatory action research cycle for each of the six questions are

summarised in the next chapter.

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4. THE PARTICIPATIVE ACTION RESEARCH CYCLES

Introduction

The studies reported in this thesis set out to identify how strategy was implemented

within one large public sector organisation, a local government authority (“LGA”);

and to ascertain which of the many implementation theories were applied in practice.

The service area covered education and leisure. The studies specifically approached

the problem from the perspective of middle management. It was middle managers

who had to balance the concerns of senior managers and politicians whilst delivering

services to the client (McKevitt and Lawton 1996).

As stated earlier, the researcher was ‘engaged’ by the LGA to facilitate an action

research programme to identify suitable performance measures for strategic

objectives. This programme was the basis for the academic research reported herein

on how government cascades strategy, from the perspective of middle management.

The programme followed action research cycles. The cycles built and tested theories

bridging the gap between research theory and practice (Friedman 2006), following

the research framework of six questions.

Each stage of the Participative Action Research (“PAR”) programme cycled through

the plan-act-observe-reflect process but was then followed by another observe-reflect

process by comparing the first findings to the relevant literature. The research

cycled through several deductive (theory stimulated following the relevant literature)

and inductive periods (inspired from the data collected), which was in turn

deductively motivated by reference of this data to the relevant published literature, at

each stage of the action research process. This action science/research method and

data collection enabled the compilation of this case study. The data included 23

recorded interviews, each about ninety minutes long, the action research cycles

described herein, as well as documents and retrieved archive material.

The spiralling cycles and emergent nature of action research meant that new areas of

literature were continually identified whilst new data were generated constantly,

including during the reflexive process of writing up the thesis, and new meanings

and lines of inquiry were regularly suggested (Davis 2004). A continuous cyclical

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process was generated as new interpretations were assembled from the examination

of new literature and the field experience. Equally, writing was also a ‘way of

knowing’ that was a method of discovery and analysis (Richardson 2000). Such

discovery and analysis continued throughout these last chapters. Action research

was seen to be emergent and therefore an unpredictable form of research where it

was not possible to specify where it would end up (Winter 1998). This emergent

construction was described as “bricoleur” or quilt-making (Denzin and Lincoln

2000), which added rigour, breadth, complexity, richness and depth to the inquiry.

The review of literature in action research cannot be confined to a single chapter.

Literature was seen to be closely aligned with data analysis and interpretation that

was dominant in the previous chapter as well as the discussion chapters. Literature

was accessed continuously throughout this research programme; before, during and

after data collection and interpretation. Such continuity mirrors the reflexive nature

of action research in which understandings developed from literature and practice

generate ideas and actions, and vice versa in a cyclical spiral (Davis 2004).

This chapter is a mix of narrative, critical commentary, literature review, data

analysis and interpretation. Such a mix is the nature of action research. Research

conclusions are therefore the exploration of issues and dilemmas, the raising of

questions, and the presentation of possibilities (Davis 2004). These tentative and

emergent findings are compatible with the role of the author as collaborator and

participant (Winter 1996) rather than observer and judge.

In this chapter, following the framework of six questions (Friedman, 2006), the first

action research cycle was utilised to identify the problem and issues by asking the

question ‘what do actors perceive as the problem?’ This stage was followed by a

reflective review of the literature relevant to the identified problem of gaining staff

commitment in order to answer the second question ‘what results do they wish to

achieve?’ This second cycle looked at the top-down strategies intended to meet the

objective of successful implementation of government policy/strategy by committed

staff. The third cycle asked the question ‘What are the intended strategies to achieve

this?’ The answers to the fourth cycle question of ‘what strategies are actually

produced?’ revealed a gap between the bottom-up and top-down strategizing process

adopted. The fifth question asked ‘what were actual strategy outcomes?’ The actual

outcomes of the strategizing process were revealed in the fifth cycle that identified

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the role of the street-bureaucrat, or the ways that professionals use their discretion in

interpreting the strategy, in spite of the system designed to eliminate all local

professional discretion. Effectively, it was ‘business as usual’ irrespective of policy

or strategy. The final, sixth cycle elaborates the unintended outcomes due to the

actual strategizing process in use by asking the question ‘why unintended

outcomes?’ The following schematic (Figure 4) provides pictorial detail of the data

gathering process described above.

Figure 4: Schematic of PAR Questions and Findings (Developed for the purposes of

this thesis)

First PAR cycle: How do actors perceive the situation or the

problem?

The first task the Participatory Action Research (‘PAR’) team set for itself was to

identify the drivers and challenges for this project. A map of the drivers of change

and the challenges facing the service area was drawn up. The map summarised the

context for this stage of the research programme. This contextual map was drawn

with the collaboration and support of other members of the senior management team.

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The external driver for change was identified by the team to be the requirement for

Best Value. At this point, literature and reflection upon Best Value was necessary to

ensure that all participants were fully informed and understood the issue and any

implications. Best Value is only part of the changes and requirements imposed upon

local government by the UK central government, often referred to as New Public

Management (“NPM”). Structural changes to decision-making were made to ensure

that executive decisions were taken by elected councillors and not management, or

professionals. The council set the policy and agreed the budget but it was an

executive sub-group of councillors, or the elected mayor, who were responsible for

policy delivery. A scrutiny and overview function was performed by those

councillors who were not part of the executive.

Each local authority was required to complete a community strategy document that

was approved by the full council but implemented by the executive group. This

community strategy was required to include programmes from other public agencies

with actions prioritised by the Local Strategic Partnership (Allmendinger et al.

2003). These post-1997 changes had moved emphasis away from the previous

committee style of organization and towards a greater focus upon outcomes and

citizens’ requirements. The aim of Best Value was to change services so that they

were cheaper and with clearer standards for cost and quality but additionally, the

services had to be acceptable to local citizens through greater responsiveness and

accountability.

The emphasis upon performance through Best Value challenged the powerbases of

the traditional functional hierarchies of the professionals (Woodman 1999). From

one view point, the increase in regulation and scrutiny was seen as an attempt to

replace quality of service with quantity (Tewdwr-Jones and Harris 1998). The

increased regulation and scrutiny were considered to have limited professional

discretion and undermined professional ethos. Traditional professional values and

attitudes were seen as being challenged (Allmendinger et al. 2003).

The changes delivered further challenges to professional independence. The

pluralistic external environment of multiple, varied stakeholders (‘general public

good’) was replaced with one single stakeholder – the councillor. All of the

decisions and actions by the professionals were now subject to scrutiny by

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councillors. Professionals were also subject to Best Value reviews of their own

services, as well as benchmarking and possibly competition.

Following this period of review of the relevant literature and reflection, the initial

findings of the external and internal strategy drivers seemed quite clear to the

research team. The map drawn, as shown below in Figure 5, entitled The Context

Drivers and Challenges, reflected a predominant concern for the challenges faced by

the strategizing process. There were several issues around defining and setting

suitable targets and also the lack of any equivalent historical data from which to

draw comparisons and conclusions. The other significant cluster of issues revolved

around strategy implementation. This included how to cascade strategy down the

organisation and how to gain commitment from all of the employees involved. The

converse was a grave concern: how to diffuse and eliminate dissention and rejection

of the strategy and its strategic objectives with individual targets.

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Figure 5: The Context Drivers & Challenges (Developed for the purposes of this thesis)

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The researcher’s reflections at this point upon prior review of the literature were that

the PAR group had anticipated the issues to be more broadly around how radically

different priorities were following New Public Management (“NPM”) (Aucoin 1990;

Dawson and Dargie 1999), and the resulting managerialism (Gramberg and Teicher

2000).

Upon further reflection and discussion by the team, it was agreed by the team that

although the map of drivers looked comprehensive it was too detailed and lacked any

indication of the key issues. Focus was lost. Eventually, following further

discussion and open reflection by the team, it was agreed that the key issue was the

implementation (or ‘imposition’) of performance measures upon the workforce,

whom the managers saw as reluctant or resisting change. From this map, the team

found it clear that the staff needed to identify their key measures and collect the data

with the conviction that it would help to improve their working lives. If not, it

would be seen as another ‘number crunching’ exercise with little purpose. It was

concluded by the team that the staff would need to participate in the process of

setting performance targets for themselves and their peers, if ownership and

conviction were to be assured.

It was agreed and planned to run PAR teams within each department to identify their

own strategy and targets so as to deliver the service area’s strategic objectives. In

order to prepare for those teams, it was decided to run the next strategy team PAR

cycle to discover and learn about the relevant government policies that set strategic

objectives for the service area. These would then form the initial data to launch the

departmental teams.

The following Table 13 summarises the first cycle of the participatory action

research that established the perceived problem and context of the research.

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Table 13: Participatory Action Research Cycle to answer the question: How do actors

perceive the situation or the problem? (Developed for the purposes of this thesis)

Plan Discover the drivers and challenges

Act Survey of senior management team

Observe Map of drivers and challenges

Reflect Lack of focus upon key issues

Second PAR cycle: What results do they wish to achieve (i.e.,

objectives)?

From the initial research cycle summarized in the above Table 13, it was concluded

by the PAR team that the key objective was to gain staff commitment to the

implementation of policies. This conclusion was derived by the PAR team from the

reflection process that had occurred in relation to the map of drivers and challenges

as part of the first cycle. That map revolved around the successful implementation

of strategies. Upon closer inspection, reflection and discussion, the key challenge of

staff commitment was surfaced by the team. The issue of staff commitment was

seen to underpin the majority of points identified as challenges.

At this stage, the team requested a briefing upon ‘commitment’ because although

deciding that that was what they needed, they did not have a consistent or coherent

shared understanding of the concept. The literature was reviewed. Commitment to

strategy has long been identified as crucial to the successful implementation of

strategy (Brodwin and Bougeois 1984; Floyd and Wooldridge 1992; Hrebiniak and

Joyce 1984; Mintzberg 1994; Ouchi 1981; Quinn 1980; Westley 1990; Wooldridge

and Floyd 1990a). Within the strategy and implementation literature, middle

management is often identified as being key to strategy implementation success or

sometimes deliberate failure (Guth and MacMillan 1986).

A widely accepted (Angle and Perry 1981; Kim and Mauborne 1993; Randall 1987;

Wooldridge and Floyd 1990b) framework for commitment has been defined

(Mowday and Steers 1979; Porter et al. 1974) as consisting of three factors. First, is

a strong belief in, and acceptance of, the organization’s goals and values. Second, is

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the willingness to exert considerable effort on behalf of the organization. Third, is a

definite desire to maintain organizational membership.

There was seen to be two dominant approaches for bridging the commitment gap

between strategy formulation and implementation. First, that the strategizing process

should become more inclusive. Second, the process ought to be less formalized

‘strategic planning’. The literature on commitment appears to take two broad

approaches. First is the more traditional approach of reward and punishment to

influence behaviour. Second is a focus on appropriate processes and practices for a

more inclusive approach.

The traditional view of behaviour control is based upon Agency Theory (Eisenhardt

1989a; Harris and Raviv 1979; Jensen and Meckling 1976; Ross 1973) within which

commitment is viewed as fear of punishment or self-interest. These two concepts

govern the way an individual will behave when acting as an agent for a principal.

By contrast, the appropriate processes and practices approach calls for more

individual freedom and opportunities for development in a plea for the

‘humanization’ of work (Dessler 1999; Kinnear and Sutherland 2000).

Inclusive strategy (Oswald et al. 1994) has been suggested as the panacea for a more

appropriate approach. Inclusiveness was seen to comprise the need for everybody in

a team to be involved (Korsgaard and Schweiger 1995) for activity to occur

throughout the organization (Hamel 1996); for a dialogue or conversation to be held

vertically and horizontally across the organization (Westley 1990); and for the

opportunity for subsidiaries to challenge corporate strategic decisions (Kim and

Mauborne 1993). De-formalizing the strategizing process has been strongly

propounded (Mintzberg 1994). Large bureaucratic organizations are liable to drift

into excessive planning. Such drift limits an organization’s ability to flex and adapt

as well as draining its energy for change and strategic capabilities.

Commitment has traditionally relied upon the public sector ethos. The

characteristics of public sector ethos have been defined (O'Toole 1993) as working

altruistically for the public good; working collegially to promote that public good,

and integrity in dealing with the many and diverse problems. Others have identified

a set of core values that inform the behaviour in local government (Pratchett and

Wingfield 1994). These are accountability; honesty and impartiality; serving the

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community; altruistic motivation; and a sense of loyalty to community, profession

and organization. Pratchett and Wingfield’s research established that although there

was a general consensus upon the core values, there was no universal public sector

ethos because these values were interpreted differently. This understanding may

have reflected the internal pluralism of the local government organization as it

embraced several different public services, delivered by different professionals and

at different levels. It was this public sector ethos that some believed was being

undermined by NPM (Doig 1995; Hoggett 1996; Malde 1994; Marr 1996; O'Toole

1993; Pratchett and Wingfield 1994).

The PAR team, now informed by the literature, was clear that the perceived problem

was the lack of support for implementing strategy and measuring its success. The

objective the PAR team sought was to gain commitment from the staff to the

implementation of government policy. The environmental changes imposed by the

introduction of tools and practices from NPM and its resulting impact upon the

traditional public sector ethos were the key influencing factors.

Third PAR cycle: What strategies do they intend to use in order to

achieve these objectives?

The third participatory action research cycle undertaken by the team was to carry out

research to identify the numerous UK, Welsh Assembly Government, and local

government policy documents that could and/or should be linked to the “service

area” strategy. The service area covered education and leisure. It soon became

apparent that there were an enormous number of policy documents. As the

documents were identified, they were studied and the key themes noted along with

any performance measures specified (a copy may be seen at Appendix Two). As the

list became longer, it was decided to code their importance/relevance for ease of

understanding. A traffic lights colouring system was used. Documents that were

core to the service area policy and strategy were coloured red in the document shown

in the appendices. Documents of secondary importance to the service area were

coloured amber. Those documents relevant to only one or a few services delivered

by the service area and partnership working were coded green. Those documents in

black were for background information only. The policy documents were also cross-

referenced to show how they fit together.

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Once the relevant policy documents were identified, they were put in to a table (see

Table 14 below). The government policy documents were listed in the first column,

similar or linked local government policy documents were listed in the second

column. Lastly, any service area documents were linked in the third column. This

table was used as an overhead slide in presentations during February and March,

2004 to separate meetings of the academic research community, and staff and

management of the service area.

Table 14: Government documents cascading strategy February, 2004 (Developed for

the purposes of this thesis)

Presentations, which were routinely made as the research progressed, acted as

‘reality checks’ for and with the staff as well as validity checks for this academic

research. Some of the detail originally contained on the slides presented to the staff

and management of the LGA (see Figure 6 below) have been made more anonymous

to protect the identity of the organization. The last presentation was made in March

2010 to the Business School’s research community.

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2 September, 2004 © Martin Whitehill 4

Recap of story so far…

• Review of Documentation– UK, National, City, Department– Academic journals & popular press

• Interviews

Figure 6: Presentation slide to senior management, September, 2004 (Developed for the


For national, and UK political reasons, the Welsh government policy documents had

clearly superimposed objectives between local government and Whitehall (UK

government). Welsh policy documents were identified as being those relevant to the

service area. With the establishment of the new Welsh Assembly, there had been a

flurry of research studies commissioned that were subsequently adopted as national

policy documents. Several policy documents were found to set objectives for

services that were in whole or part supplied by the service area such as “Wales, a

better country” (Government 2003); “The learning country” (Government 2001); “A

winning Wales” (Government 2002); and “Climbing higher” (Government 2005).

The various relevant policy documents are summarised below for each level of

cascade (National, and Local).

National policy documents

The Welsh government set the strategic agenda for Wales. The WAG published the

first strategic plan for Wales (“Betterwales.com”) for the financial year 2001-2

(Government 2000). The stated intention of the plan was:

“…to guide partners and agencies to shape their own programmes so that we could all make the most positive impact on the issues that matter to Wales”

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In 2003-4, a follow-up strategy was launched - “Wales: A Better Country”

(Government 2003). This policy document set out key commitments and aims

within six key themes. These themes were education and training; economic policy;

culture and sport; countryside, planning and the environment; communities; health

and social care. Whilst the primary policy drivers for the service area were

contained in two themes, namely education and training, and culture and sport,

nevertheless the strategic direction of service development and delivery was also

influenced by three other areas namely economic policy; communities, health and

social care.

There were two key strategic documents from the Welsh government that related

specifically to education and training, and culture and sport. Together, information

in those documents influenced the strategic direction of the service area. One was

The Learning Country (Government 2001) whose objectives, especially those under

the sub-heading “Extending Entitlement” were seen to be particularly relevant. The

other key policy document was “Climbing Higher, A draft strategy for sport and

active recreation” (Government 2005).

Local policy documents

The Community Strategy is a statutory document that must be developed and

published by each council. The local council produced theirs together with their

partners in the private, public and voluntary sectors. The key themes of this strategy

document reflected the strategic direction set by the Welsh government. The key

themes were education and training for life; enterprise and transport; sport, leisure

and culture; environment; housing and social justice; health, social care and well-

being.

The key policy objectives relevant to the service area were contained within

education and training for life, and sport, leisure and culture. Again, other policy

themes impacted upon the service development and delivery, especially health,

social care and well-being. It was obvious to the PAR team that the community

strategy for the local council plan’s objectives mirrored those of the Welsh

government in their ‘Wales, A better country’ document (Government 2003).

However, the key document that outlined the Council’s priorities was a white paper

on the future. The paper was published in January 2004. Prior to this publication,

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the strategic direction ‘for the authority’ (the language of the Council’s management

and staff) had been documented in another paper outlining ambitions for the local

authority area, and prior to that in the mayor’s annual address.

The white paper on the future identified eight priority themes for the council (a

greater place; improving services; engaging with citizens; unlocking potential;

promoting health, social care and well-being; tackling disadvantage; promoting

growth, and protecting the environment). Within this publication were links to the

six key themes of the community strategy document.

Upon reflection, the members of the strategy team noted that it was themes (such as

inclusivity), rather than LGA functional activities, that linked the documents. These

themes appeared to be cross-functional and in many instances cross-entity, some

even bridging the public and private sectors (such as reduce obesity). The service

area was predominantly structured by functions that reflected the different

professionals that staffed and ran the organization, and not the policy themes. Table

15 below summarises the third cycle of the PAR.

Table 15: Participatory action research cycle to answer the question: What strategies

do they intend to use in order to achieve these objectives? (Developed for the purposes

of this thesis)

Plan Discover relevant government and local policies

Act Trawl libraries for relevant policies

Observe Tables drawn-up showing the connections and relevance

Reflect Social themes going across functions

Fourth PAR cycle: What strategies do they actually produce in

action?

The team considered that there was an issue beyond the linking of policy documents.

They decided to piece together the strategizing processes that formed this cascading

of government policy. The team assembled an audit trail from individual

government policy statements, through the organization’s policies and department

strategic objectives, to individual objectives.

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A map or figure was drawn to reflect the organisation’s strategising processes; levels

of responsibilities and the contributing documents; regulations; and instructions from

the stakeholders. It was shown as a pyramid, and is shown below in Figure 7,

Linkages from government policy to individual objectives. At the apex of the

pyramid, “Corporate Aims” were generated by the Board and Corporate Managers

from government policy documents that therefore formed the basis of the

organization’s strategy. These documents identified the key themes for the

organization. These themes were translated into measurable objectives and activities

in the organization’s performance plan document.

“Portfolio Aims” appeared in the performance plan document and was the link

between the organization and service area aims. “The Service Area Aims and

Objectives” were developed based on the corporate requirements identified in the

above documents. These aims and objectives were then documented in the annual

service area Business Plan.

The service area adopted a number of key performance indicators for the service for

the financial year 2000-1. They had been added to and developed since, principally

as better information became available. The performance measures related to three

strategic areas of the service namely customers and service delivery; finance, and

employees.

The data for measuring the performance in respect of customers and service delivery

were captured by annual sample surveys of users of the services. The survey asked

questions about the number of individuals within the household receiving the

service, the degree of customer satisfaction, and equality.

Financial performance measurement was by way of the budgetary system (staying

within budgeted cost limits); efficiency (cost per output) and leverage (resources

gained from other sources). Employee performance was measured upon equality,

absence, and training and development. The organization had not run an annual staff

appraisal system for some years.

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Figure 7: Linkages from government policy to individual objectives (Developed by the

PAR Team and reproduced for the purposes of this thesis)

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Upon reflection, the team realised there appeared to be at least a weak connection

between the strategic objectives and the action in the field. Personal objectives

tended to be more operational and expressed in aspirational terms rather than as

outcome measures. In discussion, one issue that surfaced was that staff opened the

doors each morning for business as usual but many either went no further or acted

how they felt best, not necessarily as the strategy document proposed.

The PAR team revealed top-down implementation in the form of increased statistical

reporting required by government policy. This reporting had the impact of changing

behaviour in order to deliver the performance indicators aspired by government

policy. There was evidence that although changing generic behaviour benefited the

majority, there were clients who would have been better served by the previous

policy but no local discretion was permitted by the performance targets.

For example:

“We have to fulfil standards set by the Welsh Assembly. There are Welsh library standards that we have to comply with or at least their recommendations that we have to comply with.”

“The biggest impact on us was the ruling that we should not keep a publication more than eight and a half years old from the reprint date. So that you provide the public with up to date good quality material all the time. Which some of us found a bit hard to do. From the leisure point of view, it is a shame, we get people coming in and asking for Howard Springs...and I mean he has gone. Unless there is a reprint and the thinking is that if it’s good enough and it’s wanted, it will be reprinted. That was hard at first, you know. We just do it now.” (Library Manager)

The library service had routinely to provide statistics to the government proving that

the stock of books was current and not old stock. This meant that after the

prescribed age all books were removed from the library service, irrespective of

condition or demand. Some of these books were in great demand by the community

but being out of print, the community were deprived of their chosen, preferred

reading. Interestingly, the enforced change in behaviour by these systems was seen

as peripheral and not core strategy to the professionals. The collection of

performance statistics was just another task that had to be completed by somebody.

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From the analysis of government policies, it was evident that there was a move away

from aspirations stated in terms of the government and its agencies’ functional

structure towards themes that traversed departments and agencies. An example was

the prevention of ill-health which aspired to a complete life-style change for the

population. This policy covered health, education, sport and physical activity as well

as food manufacturers, retailers and caterers, amongst others. It would have required

systems that went across entities; a different type of management, organizational

structure and culture and it may also have required different professionals with

different skills.

There was clear evidence of structural imbalance between government policy and

government structure to implement that policy. Professional service organizations in

the private sector had inverted their organizational pyramids to show the customer

along the base line which was now at the top. The chief executive officer was at the

apex, which was now shown at the bottom of the organization in support of the

client-serving front-line employees. This symbolic organization chart enforced the

culture that the organization was there to serve their chosen client segment in the

best possible way. This meant that the organization and its business model ought to

be completely focused upon the requirements of the client segment. A similar

approach had not been taken by this ‘authority’.

From the evidence gathered, it was not clear that this segmentation and focus had

been followed in the public sector. At least one of the PAR teams did collect

documentary evidence and maps of the move towards information access points for

clients such as web sites, promotion of telephone help lines, one-stop shops and one-

service points. Evidence was collected by this team showing separate buildings in

close proximity offering public services by different departments and agencies to the

same targeted client segment. These moves may make it easier for the client base to

contact the service deliverers, assuming they find the correct building or access

point, but it has not changed the nature of the service delivery.

The evidence gathered by the PAR team though indicated that each functional

department was operating to the best of their service capabilities irrespective of other

service providers or the holistic requirements of the recipient constituents:

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“Parks built a playground outside one of my play centres. They’ve done it twice now. Right? And at no point did they ever come to us, even to the staff of the play centre and say look ‘even if we’ve got this design, would you like to check it out with the kids’. The first thing we know about it is the JCBs have turned up. And that is literally ten, twelve, fifteen yards outside our gate.” (Play & Leisure Manager)

The numerous services may be better received by client segments if the delivery

were tailored specifically for each different community or ‘segment’. This greater

focus could cut out waste. Effectively, strategic business units could be established

for different client segments and the delivery of the different public services

allocated to the relevant ones.

By finely tuning the service more to the target client community, it could be both

more effective and efficient. Rural communities require different services or

services delivered differently to other urban communities. Equally, young families

require different service deliveries to those who are at the pre-retirement stage of

their life.

There was evidence of bottom-up implementation with the restating and rewriting of

routine operations in the language and topics of the current policy themes. This

approach may have reflected inward-looking bureaucracies resistant to change or

management promoting conformity, reliability and basic standards of service, but

indicated remarkable stability. There was no evidence of the adoption of a

contingency approach. The fourth cycle of the participatory action research is

summarised in Table 16, next.

Table 16: Participatory action research cycle to answer the question: What strategies

do they actually produce in action? (Developed for the purposes of this thesis)

Plan Link policies, strategies and targets with individuals

Act Collect audit trail from policies to targets and actions

Observe Map showing the linkages

Reflect Link not clear from functional areas (strategy/operations break in the

link). “we do what we think best”. Gap between strategy and

implemented strategy.

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Fifth PAR cycle: What were the actual outcomes of these

strategies?

The strategy team felt now that they needed to review critically the service area’s

approved strategy document. They felt that it required a framework or additional

structure to understand how it all interconnected. They decided to count the strategic

objectives they had to deliver and categorise them by nature of spend (capital,

revenue – split between maintenance and ‘new ventures’). The performance

measures for each were also analysed between the different types of targets: input,

process, output and outcome targets.

Below in Table 17 is a summary of the 200 strategic objectives set for the service

area. From the analysis, 136 of these related to existing services and nine were for

new services. Of the rest, 18 were to write more plans, 28 were capital spend and

nine were on staff development. Analysing the nature of the objectives, it was

discovered that 81 were on input, 82 on process, 2 only on output and none were on

outcomes. Of all the objectives, 166 were qualitative in nature and only 34 were

expressed as quantities, although several of these only expressed an unquantified

‘increase’ or set targets without reference to the current level of performance. The

200 strategic objectives for the service area were seen to contribute towards

delivering 17 corporate objectives plus 15 other departmental initiatives including

staff development. Some of the objectives were to start projects that if further

analysed would contain many more objectives. The objectives described above are

summarised below in Table 17: Summary of Strategic Objectives and have an

accompanying note drawn up by the PAR team upon reflection on the table contents.

Some of the items listed in these notes are picked up and addressed in the section

following the notes.

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Table 17: Summary of Strategic Objectives (Developed for the purposes of this thesis)

All Type of Objective Nature of Objective

Type

of

Depts Capital Maintain New Staff more Measure

Services Services Develp plans Input Process Output Outcome Quant Qual

28 136 9 9 18 81 82 2 0 34 166

200

165

200

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Note to Summary of Strategic Objectives:

These initiatives go towards delivering 17 corporate objectives plus 15 other initiatives internal to departments

The strategy document structure reflects the main corporate political themes and does not summarise by department

The organization is not structured to deliver the political themes and policies. It is organized along traditional functional lines. The political

policies reflect the clients, or ‘market’ but the organization reflects the professions who deliver the services.

The question ‘why?’ needs to be asked, perhaps several times, to discover a credible reason for any of these initiatives and to drive the focus

from input and process towards the desired outcomes end of the process

Many initiatives focus upon stimulating attendance but who is measuring the outputs and more especially the outcomes? Do they join-up? Who

is monitoring both the efficiency & effectiveness of the outcomes?

Many of these initiatives are mixed bundles of plans & input focus. Therefore, the strategic objectives in the strategy document are more than

those counted here.

Source: Developed for the purposes of this thesis

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In order to gain a better understanding of why these services and initiatives were

being delivered, the question ‘why?’ had to be asked, frequently several times. This

line of questioning drove the focus from input processes towards outcome

aspirations. However, it was recognised that qualitative input and process goals

were far less risky than outcomes that often took longer and were often the result of

combined initiatives. This predominance of objectives upon process inputs raised

many generic questions. Many of the initiatives focused upon stimulating take-up of

the services but a question remained as to who was measuring their impact upon the

outputs and more especially the outcomes. Similarly, it was unclear to the members

of the PAR team whether or not the initiatives were interconnected. These initiatives

may have reflected the most efficient way of providing these professional services

but it was unclear to the PAR team members if the services were the most effective

for delivering the outcomes.

The strategy document structure reflected the main corporate political themes and

did not relate any objectives or activities to individual departments. The

organization was not structured to deliver the political themes and policies. It was

organized along traditional functional lines. The political policies reflected the

clients, or ‘market’; but the organization structure reflected the professions who

delivered the services. The political themes and corporate objectives spanned the

organization, across departments, service areas and even other agencies and service

providers. The objectives were not managed as separate projects but each

department reclassified on paper its on-going business under the latest political

themes that were imposed.

From the findings of the PAR cycle described above, there was clear evidence to the

PAR team of the traditional split of policy-making and policy administration

(implementation). There was no clear evidence of strategic management having

replaced public, bureaucratic administration.

From the evidence of the findings of the PAR cycle described above, the impact of

NPM was found in the increasing number of operational targets set by politicians.

Due to the application of NPM that tended to be skewed towards agency theory, and

top-down command and control, however, the huge benefits of strategy and strategic

management were not obtained. ‘Strategy’ and ‘strategic management’ were

implemented as a change of label for the same top-down leadership approach.

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The strategy documents clearly evidenced the traditional trait of shopping-lists with

no discrimination or elimination of alternatives. There was a clear lack of focus for

future direction and action. This lack of focus was emphasised by the lack of shared

vision by the field workers and the apparent dislocation and partial loss of

professional mission as the delivery was increasingly being demanded and measured

in terms of cross-cutting themes not specific to a single profession. There was

evidence of short-term horizons and acts of inward-looking where existing resources

(and services) were matched to the latest political themes or policies.

There was evidence of street-level bureaucrats. These professionals were likely to

face dilemmas during implementation of policy due to work autonomy,

responsibility to clients and a duty to implement policy as directed. A minority of

instances were found where field workers managed some of these dilemmas by

influencing policy and politicians’ decisions and others by politicising the

community to conduct the influencing. In a large number of instances, field workers

used their ultimate discretionary powers by rewriting their strategic objectives each

year to reflect the current political themes and then carried on their work as usual.

The calls for public sector strategy implementation to be more participatory to

deliver democratic public organizations were not found in the command and control

by the political elite. Below is a summary of the fifth PAR cycle in Table 18,

entitled Participatory Action Research Cycle to answer the question: What were the

actual outcomes of these strategies?

Table 18: Participatory Action Research Cycle to answer the question: What were the

actual outcomes of these strategies? (Developed for the purposes of this thesis)

Plan Review service area strategy document & performance measures

Act Analyse document

Observe Key strategic objectives and how they will be measured

Reflect Shopping list of ‘business-as-usual’, no focus or stretch

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Sixth PAR cycle: To the extent that these outcomes were

unintended (i.e. did not match the desired results), what might

account for this mismatch?

As a starting point for each departmental team, it was decided to surface their

department’s mission and vision. This exercise was intended to reveal the

departmental values, beliefs and assumptions underlying the mission statement and

to confirm the department’s vision for the future. At this stage, no specific reference

was made to the published service area strategy document that did contain statements

of the primary aims for each service department within the service area. It was

presumed that the articulated mission statements would reflect these published

aspirations, the primary aims.

One immediate reaction when launching the topic was ‘don’t ask me what they are’.

It was perceived that political themes were handed down and departments and

sections fed their objectives into each of these themes. Two questions team

members asked were ‘how can we interpret these objectives down at our level’ and

‘how can we support these initiatives through our existing services?’ Some team

members then stated ‘It is all a cross-cutting exercise really’, meaning the objectives

went across functions and departments. It was perceived that staff were continually

rewriting the same thing in different ways to fit in with the latest political theme.

Strategy seemed to be something going on elsewhere and staff were just left with the

tactics and did not have the luxury of thinking about the longer term. They had

government targets but not definitions of the service required. Other than the

government targets, the only corporate review of strategic performance at middle

management level was a report at the end of the year.

It was felt that politicians and the corporate board set the vision and mission but that

there was no input from the field or middle management. The only strategic

document they had sight of was strategic objectives and targets. As these were

expressed in terms of cross-cutting themes, there was no clear vision, mission or

strategy for the professional and functional departments. The majority of

participants did not know where their part of the organization was going to be in

three or five year’s time, other than in terms of buildings being refurbished or built.

The service vision and mission were unclear.

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When asked about the strategizing process, it was considered ‘very much’ to be a

top-down process. It was the individual’s perception that their planning had always

formed a ‘pincer movement’ because they had always known in the workplace the

things they needed to do, quite practical things, such as ‘maintenance, access, and

that sort of thing’. The themes from the politicians were ‘handed down’, and the

departments then allocated the field workers intentions under those headings.

Another manager was not comfortable to share his vision for the department because

people would sabotage that vision:

“I’m not comfortable in sharing visions with people within the organization because my interpretation is they will scupper them. So, in a sense, the way we work is to try and work and create an energy that drives itself that the blockers cannot get in the way.”

“What I’m very clear about is the vision for me is that the play centres continue to develop and continue to be a community resource. ...We’re eventually going to end up with more play centres. We’re running play schemes, we’re running particular ad hoc projects in various communities out of building containers, we’re doing out of community centres and all the rest of it. And what that’s all about, and why we are doing it that way is to establish habits, politicise the community population to say ‘actually your child has the right to play, and if you put enough pressure on various organizations, the chances are you can get money for it’. ” (Play and Leisure Manager)

He preferred to work on creating energy within the community that drove itself, and

that non-supporters of the vision could not get in the way. By manipulation within

the budget, they could change the nature or type of service. They created this energy

by providing temporary services and then worked to politicise the community. The

members of the community then lobbied the politicians and agencies to gain the

services permanently as their personal or human right. The professionals delivering

the service also identified government sources of finance and recommended that the

community apply for funding and they would then deliver the service.

To illustrate his point, the manager told a story. Central to his personal objectives

was to deploy play pods across the community. These pods were self-contained

playrooms for very young children. They were a safe environment and the children

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were encouraged to do what they wanted – they could, and did ‘run wild’, acting like

children and not how adults think children should play.

Members of the department staffed each pod and they would only step in to defuse

any potentially violent situation or to have a friendly chat with somebody if they

were swearing. His story goes that on one occasion they had only a budget to run

this pod for three months. Understandably, the pod was a success among the

children and with the parents. When the lorry returned after three months to crane

out the pod and take it away, the operators found that they were prevented from

doing so. The children had stuck themselves together with Sellotape and stuck

themselves all over the pod. The operators discovered that the Sellotape could not

just be torn apart by hand and so withdrew. Also in attendance, allegedly purely by

coincidence, were members of the media. It took about a day for the politicians to

resource the pod and to cancel its removal.

Another issue raised was the developmental element of the work. It was critical to

develop the service provision but this conflicted with the central role of politicians

and the corporate management who saw it as their position to develop all policies or

approve all development decisions. This comment would appear to reflect the

traditional agency theory of politics/administration split. There was also the

perception that the functions or operations of service delivery were decreasing in

influence and persuasion whilst the corporate centre was expanding. To get round

this ‘isolation’ of the field workers, some had joined professional organizations to

lobby politicians and some had participated in drawing up government papers,

policies and strategies. They felt that they were telling the government what to tell

them. They had ‘captured’ the policy setting role as well as the service delivery.

The strategizing process was designed, and appeared in the LGA’s explanatory

diagrams, as a top-down only process. All strategy preparation arrows flowed in

one, downwards direction. Only after implementation did monthly monitoring

arrows flow round and back upwards. Internal dialogue was excluded from the

diagrams of the strategizing process. Communications and decision-making must

flow up, as well as down an organization, so that the whole process carries authority

and legitimacy. This LGA’s strategizing process followed a traditional prescriptive

approach, similar to the rational planning school of sequential strategic analysis,

strategy development and implementation. One of the basic assumptions underlying

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rational planning is the linear progression of events and time so that cause and effect

are clear and controllable. Many organizations have inhabited a more dynamic and

complex environment for some time, characterized by non-linearity, aperiodicity and

unpredictability.

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Figure 8: Schematic of the strategic policy framework (LGA document made anonymous for the purposes of this thesis)

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Figure 9: LGA Policy in to practice framework (LGA document made anonymous for the purposes of this thesis)

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The Community Strategy Action Plan outlined the strategic priorities from the

stakeholders and formed the basis for resource and budget allocations. An important

purpose of strategy was to establish consensus amongst the key stakeholders who

may have multiple viewpoints and realities. Once the Council’s budget had been

approved, it was the foundation upon which the corporate business plan was written.

Out of this document flowed the service area business plans.

The PAR team saw the resulting action plan had a generic, commoditizing

standardization of the services throughout the community. This meant that the same

service and standards were to be applied in all instances because professional

discretion in the field did not fit the top-down policy implementation processes. The

services were therefore McDonaldization. McDonaldization is the application of the

principles of the fast-food restaurant to other sectors of society (Ritzer 1993). The

socially structured form of the fast-food restaurant has extended the rational thinking

principles of efficiency, calculability, predictability in to the realm of everyday

interaction and individual identity. A hamburger is the same everywhere. The

LGA’s policies were implemented the same everywhere.

The strategy assumed the buy-in by all employees to a shared vision, mission,

values, beliefs, assumptions and strategy. All of these aspects were defined and

approved by the corporate board and were seen as intrinsic to the community action

plan and were subsequently implemented in the organization. To expect thousands

of employees to think and act similarly in a robotic fashion was considered to be a

form of extreme rationalization. Its achievement by the PAR team members, who

were charged with strategy implementation, would have involved social engineering

and inculcation on an extensive scale, in their considered opinion, upon reflection.

The PAR teams reflection was that a single worldview can not reflect the divergent

internal pluralistic nature of a large organization. The community strategy action

plan was shaped by the divergent goals and interests of different groups within the

local community external to the service area, leading to multiple strategic goals and

objectives. Strategic focus was fragmented by competing demands. The LGA was a

pluralistic domain involving divergent objectives, multiple actors and diffuse power.

Such pluralism was seen in the tension between professional and managerial cultures

and interests. This tension was caused by the wide set of internal and external

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stakeholders. Traditionally, the PAR team members (‘professionals’) worked to fit

local requirements not broad, community-wide initiatives.

The PAR Team identified that pluralistic tension was caused by the requirements for

commercially-oriented performance whilst maintaining their professional role in

society and ensuring quality public services. The LGA was required to pursue

multiple strategic objectives in the provision of statutory government services (such

as libraries), discretionary services (leisure and sport), to meet quality standards of

service and practice, to demonstrate Best Value and resource efficiency, as well as

complying with professional codes and guidelines, and pressures from users of the

services. The diverse professional cultures and interests that were typically

antithetical to those of senior management fuelled the tensions. The PAR Team

found that the tensions were further exacerbated by the struggle to meet multiple

demands for quality public services which demonstrated Best Value, resource

efficiencies and increasing commercial viability.

A conclusion by the Par team was that this extensive external and internal pluralism

resulted in a non-linear complex system. Complex Adaptive Systems (“CAS”)

theory is relevant to public administration. Complex is not just complicated.

Complicated can be defined as many elements within the system, whilst in complex

systems they are mutually interdependent and heavily influence the probabilities of

many kinds of later events (Axelrod and Cohen 2000). The large numbers of

external and internal actors, or agents, were mutually interdependent and influenced

future events through a network of feedback loops. Human complex systems were

comprised of many diverse components (pluralism) that were loosely linked, not

necessarily linearly, and produced emergent patterns of systemic behaviour.

The implementation of strategy can be classified as three different forms of change

(Stacey 1993). The PAR team concluded that the internal and external pluralism

experienced by this LGA, and the future uncertainties, reflected open-ended change.

The other two possible types of change were closed change and contained change.


and effect and reasonably accurately forecastable consequences of the change.


consequences of the change programme. In the open-ended change called by some

of the strategic objectives set for this LGA, the PAR team found future consequences

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were made difficult due to the ambiguous purposes and equivocal preferences of the

external and internal pluralism.

This ambiguity revealed paradoxes and dilemmas to the PAR team. All three types

of change were evidenced in this organization but whilst the organization was

configured to manage closed and even contained change, it was not organized to

manage in an environment of open-ended change. The themed strategic objectives

of the government, i.e. eradication of obesity, called for open-ended change. Such

change required the acceptance and absorption of complexity by the organization.

The traditional, rational strategizing approach of the LGA, in the experience of the

PAR team sought to reduce complexity (closed and contained change).

The reflections by the PAR team after the various discussions and feedback loops

was that a cause of the decline in the production of social capital (connections within

and between social networks), and the decline of public trust in government, was the

government’s increasing inability to solve complex social problems with the

traditional hierarchical, top-down, command and control institutions. The lack of

trust in government, due to lack of representation or relevance has led to the

formation of non-conventional solutions, associations and pressure groups. This was

evidenced by the PAR team through the behaviour of the frontline service providers

who used their discretion and initiatives to locally change the policy implemented

(street-level bureaucrats). The role of the community plan was to address the more

pressing needs of the wider community and provide a more representative solution.

The community plan limited the ability of the organization from being ‘hijacked’ by

left or right wing political extremists or dominant, autocratic chief executives.

However, the PAR team realised that the community plan was still a top-down

strategizing process not necessarily in touch with all of the numerous community

segments or the professionals working therein. Social problems have outpaced

conventional solutions. Bureaucratically organized government was less able to be

responsive to citizens’ needs. Figure 10 below summarizes the discussion above and

Table 19 summarizes the sixth PAR cycle.

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Figure 10: Causes of Unintended Outcomes (Developed for the purposes of this thesis)

The above Figure 10 summarizes the preceding discussion and below in Table 19 is

a summary of the sixth PAR cycle.

Table 19: Participatory Action Research Cycle to answer the question: To the extent

that these outcomes were unintended (i.e. did not match the desired results), what

might account for this mismatch? (Developed for the purposes of this thesis)

Plan Confirm mission and vision

Act Surface mission and confirm vision held by each departmental SMT

Observe Articulated and scribed mission and vision statements

Reflect Unclear mission and no vision

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Summary

Table 20: Summary of research questions and findings (Developed for the purposes of

this thesis)

Question Finding

What do actors perceive as the problem? Lack of focus upon key issues

What results do they wish to achieve? Commitment to strategy implementation

What are intended strategies to achieve

this?

Policies are now social themes across

functions

What strategies are actually produced? Gap between strategy and implemented

strategy

What were actual strategy outcomes? Shopping list of ‘business as usual’

Why unintended outcomes? Unclear mission and no vision

The findings from the participatory action research cycle questions indicate that the

community strategy action plan may have made more transparent the influence of

external pressure groups but it still unquestionably imposed a top-down

implementation across the community. The gap, disclosed by the findings between

the policy/strategy documents and implementation in the field by the professionals,

demonstrates that professional discretion is missing from the documents. The

extensive external pluralism of the multitude of stakeholders, the diverse strategic

objectives, and the internal pluralism amongst the numerous different professions

and professionals, as well as middle and senior management, confirm that the LGA

is part of a complex system, specifically a complex adaptive system of autonomous

agents (humans) continuously adapting to interdependent events and their evolving

environment. The next chapter, entitled discussion on practice-theory gap, takes

forward these points based upon the findings and argues for the exploration of

alternative strategizing approaches and organizational models.

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5. DISCUSSION ON PRACTICE-THEORY GAP

Introduction

The research method followed deliberately reveals practice-theory gaps, that is gaps

between espoused theory and practice (theory in use), (Friedman, 2006; Kemmis and

McTaggart, 2000). This chapter draws together the issues and patterns surfaced in

the previous chapter that revealed a practice-theory gap, critically compares those

issues and patterns to the literature, and draws conclusions.

The action research, detailed in Chapter Four, summarised the participative action

research spirals in answering the six action research questions, which surfaced the

patterns and issues for discussion in this chapter. In the first discussion, the patterns

and issues surfaced in the action research process identified and confirmed the

literature on external strategizing pluralism and internal organizing pluralism. The

next discussion looks for confirming evidence of pluralistic organizing having

unintended strategizing implications. There were two significant findings here. The

first findings were of a formal, structured, top-down organization which did not

reflect the literature. The organizing pluralism conflicted with the attempted use of a

traditional, generic organization or business model to address a wide range of

different types of services. These services were delivered to, for and by pluralistic

stakeholders. The second significant finding under the topic of pluralistic organizing

having unintended strategizing implications confirms the literature from the USA on

street-level bureaucrats. Here, frontline service deliverers were found to be using

their own discretion in interpreting policy implementation. Additionally, they were

politicizing the citizens to demand the services they wanted. Lastly, they were re-

writing their strategy documents each year to incorporate the latest political phrases

to describe their own policy implementation.

Other issues around the research were also surfaced in the findings and these are

summarized in this chapter as the basis for further research. The topics include

pluralistic strategizing pressures strain organizing capacity, and protracted tensions

between organizing and strategizing.

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Next, in Table 21 entitled key contributions made to knowledge of theory-practice

gap, are listed the contributions made by this research and which are discussed in

this chapter.

Table 21: Key Contributions to Knowledge of Theory-Practice Gap (developed for the


Key Finding

External strategizing pluralism & internal

organizing pluralism

Empirical gap between strategy and

Implementation

Addressed by Extant Literature

Findings confirm published

literature with empirical

evidence

Findings disconfirm published

literature

The previous chapter summarised the participative action research cycles as they

asked each of the six action research method questions. The answers surfaced the

patterns and issues for discussion in this chapter. The patterns and issues surfaced

identified both external and internal pluralism.

Nature of conclusions drawn from emergent research

The spiralling cycles and emergent nature of action research meant that new areas of

literature were continually identified whilst new data were generated constantly,

including during the reflexive process of writing up the thesis, and new meanings

and lines of inquiry were regularly suggested (Davis 2004). A continuous cyclical

process was generated as new interpretations were assembled from the examination

of new literature and the field experience. Equally, writing was also a ‘way of

knowing’ that was a method of discovery and analysis (Richardson 2000). Such

discovery and analysis continued throughout these last chapters. Action research

was seen to be emergent and therefore an unpredictable form of research where it

was not possible to specify where it would end up (Winter 1998). This emergent

construction was described as “bricoleur” or quilt-making (Denzin and Lincoln

2000), which added rigour, breadth, complexity, richness and depth to the inquiry.

The review of literature in action research cannot be confined to a single chapter.

Literature was seen to be closely aligned with data analysis and interpretation that

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was dominant in the previous chapter as well as the discussion chapter. Literature

was accessed continuously throughout this research programme; before, during and

after data collection and interpretation. Such continuity mirrors the reflexive nature

of action research in which understandings developed from literature and practice

generate ideas and actions, and vice versa in a cyclical spiral (Davis 2004).

This chapter, like the previous one is a mix of narrative, critical commentary,

literature review, data analysis and interpretation. Such a mix is the nature of action

research. Research conclusions are therefore the exploration of issues and dilemmas,

the raising of questions, and the presentation of possibilities (Davis 2004). These

tentative and emergent findings are compatible with the role of the author as

collaborator and participant (Winter 1996) rather than observer and judge.

Structure of this chapter

This chapter starts with summaries of the key findings with descriptions of the

patterns and issues surfaced during the participatory action research programme

discussed in the previous chapter. These summary descriptions will be followed by

critical discussions on each of the findings compared to the published literature that

are then drawn together in conclusion. The confirmation of the literature or

discovery of a practice-theory gap will be discussed in this chapter.

The empirical evidence from this research programme confirmed the published

literature of external strategizing pluralism and internal organizing pluralism

(Jarzabkowski and Fenton 2006). These findings are discussed at the beginning of

this chapter. However, pluralism contributed to other issues and patterns surfaced

during this research programme. They are outlined below before being discussed in

detail with critical comparison to the known literature.

Pluralistic organizing has unintended strategizing implications

Structured for Regulation, Command and Control - the organization was a Local

‘Authority’ and was traditionally structured for regulation and control using a

command & control management approach.

Street Bureaucracy - plans were restated by middle managers each year using topical

language from the political leadership. Few output or outcome goals were set with

most targets being input or at most process objectives, and little justification of

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results or substantiation of actions taken were required as most targets were

achievable. An alternative model was revealed in practice wherein the service

recipients were politicized by coaching them on how to work the system and demand

the services they wanted.

Pluralistic strategizing pressures strain organizing capacity – for further

research

Organizing capacity is strained by the paradox of top-down commitment, political

aspirations and pragmatic implementation, and the tension caused by the different

professional and public service ethos. These points are discussed under the

following three headings.

Paradox of Top-Down Commitment - managers required commitment & compliance

that was a paradox with top-down direction.

Political Aspirations and Pragmatic Implementation - the strategic targets set were

political aspirations that formed a gap from the pragmatic service delivery

implemented.

Top-Down Political Convenience and the Professional and Public Service Ethos -

top-down communication was evident. Evidence was not found of either dialogue

that sought contributions, or of systems to collect the specific requirements of

discrete communities as opposed to inflexible generic solutions. There appeared to

be no recognition of the fact that peer pressure and professional bodies influenced

staff behaviour and decisions as well as public service ethos.

Protracted tensions between organizing and strategizing – for further

research

The next research finding which is discussed in this chapter, under the heading

‘local government is a constrained complex adaptive system’, is that the nature of the

pluralism lead to a conclusion that the organization was a complex system but it was

not a complex adaptive system – it was not adapting. The organization was being

constrained. From the literature, possible reasons for constraint were found in the

concept of Institutional Theory. The expectations of the stakeholders were

constraining the organizations ability to flex and adapt to meet the new types of

challenges it faced.

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The Local Authority was structured to deliver regulation and control through

systems and processes based largely upon principles of regulation and control.

However, many of the services provided were not of the nature of regulation and

control. Many welfare and care or well-being services were provided which were

very different in nature from regulation and control. The delivery of these types of

services would be more effective with different structures, systems and leadership

styles. Equally, many current problems and issues facing government go across

functions, agencies and even sectors. These types of problems require a different

organization to that of regulation and control. The nature of these emerging

problems requires creativity and innovation, not standardised procedures and control.

The organization studied was seen to have a portfolio of different types of services.

It required, therefore, a portfolio of ‘businesses’ to deliver these different service

types. The organization required a portfolio of organizing models (organizing

pluralism) to match the external strategizing pluralism. These models are discussed

and conclusions drawn in light of the empirical evidence.

The next finding discussed in this chapter, under the heading ‘lack of democratic

voice’, is that due to the top-down approach to policy and strategy formulation,

sectors of the community may have been marginalised. A review of the literature

synthesised political policy with the discussion on organization structure (‘business

model’) discussed above. The alignment of policy-setting to the relevant business

model could alleviate many of the issues discussed.

The below Figure 11 entitled Contribution to Knowledge - the Effects caused by

Pluralism summarises the effects caused by external strategizing pluralism and

internal organizing pluralism.

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Figure 11: Contribution to Knowledge - the Effects caused by Pluralism

These summary descriptions will now be followed by critical discussions on each of

the findings compared to the published literature that are then drawn together in the

conclusion. It is then possible to draw conclusions about the research question: How

does Government Strategize Locally from a Middle Management Perspective? The

implications of these conclusions for theory, policy and practice are then discussed.

The limitations of this research programme are outlined and reflections are made

upon the methodology and its implications as well as implications for further

research.

Summary of Conclusions drawn from research issues and

patterns surfaced in the Previous Chapter

Towards the end of writing the previous chapter, the research findings’ patterns

became clearer, requiring further reflection and rewriting. The empirical findings

from this research confirmed the limited extant literature upon external strategizing

pluralism and internal organizing pluralism. These phenomena influenced and

contributed to the other findings and contributions to the body of knowledge as

summarised below.

The empirical evidence from this research programme confirmed the published

literature of external strategizing pluralism and internal organizing pluralism

(Jarzabkowski and Fenton 2006). The empirical findings from this research

programme were that the strategy formulation process was formed by the electorate

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through their elected local representatives, other service providers within the

community, national government, and the directors of the organization as well as

other influential stakeholders. Internally, the organizing was influenced by the

policy-setting of the local politicians, the Directorate, senior and middle

management, administrators, professional service providers, unions and professional

bodies. Confirmation of the literature is important because it leads to and explains

other findings discussed below.

Because of external and internal pluralism, the empirical research programme

discovered a gap in the cascading of government strategy. The literature stated that

the strategy, formulated at the top, was cascaded down the organization to the point

of delivery. The research herein reported identified a gap in that process in the

organization that formed the study site. The issues were complex, with many

contributing factors. A main cause was found to be that personal objectives of the

staff delivering the service were not aligned to the organization’s strategy or its

objectives. This cause and other contributing factors are discussed in comparison to

the published literature in the following section.

External Strategizing Pluralism and Internal Organizing Pluralism

The findings from the second cycle of the participatory action research programme

identified the pluralistic nature of the strategy documents that applied to the service

area. The third cycle looked at the internal organizing for the implementation of

these policy and strategy documents and discovered their pluralistic nature.

The UK national government, the Welsh government, and local government policy

formulated the external strategizing. The local government policy alone

incorporated the representations from the UK and National governments, the elected

local representatives, the ruling political party, representatives of local businesses,

other government agencies, public service providers and not-for-profit organizations.

The internal organizing pluralism included the elected leaders, the Directors, the

senior and middle management, administrative and professional staff, as well as the

influence of unions, professional bodies and the public service ethos.

A single worldview cannot reflect the divergent internal pluralistic nature of a large

organization. The community strategy action plan was shaped by the divergent goals

and interests of different groups within the local community external to the service

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area, leading to multiple strategic goals and objectives. The outputs and eventual

outcomes of the community plan extended across this ‘institutional field’ (Moore

2005).

Strategic focus was fragmented by competing demands (Glynn et al. 2000a). The

LGA was a pluralistic domain involving divergent objectives, multiple actors and

diffuse power (Feldman 2005; Rainey and Chun 2005). Within this pluralistic

organization, there were separate administrative, managerial and professional

cultures which in turn contained subcultures and identities (Blackler et al. 2000;

Jarzabkowski and Fenton 2006). Such pluralism was seen in the tension between

professional and managerial cultures and interests (Jarzabkowski and Fenton 2006).

This tension was caused by the wide set of internal and external stakeholders.

Both strategy and leadership require an understanding of the roles of the public,

politicians, and the organization’s internal management processes (Hartley and

Skelcher 2008). Traditionally, professionals worked to fit local requirements not

broad community-wide standardized initiatives. In the research study reported

herein, the members have managed to define ‘the conditions and methods of their

work’ and have established ‘a cognitive base and legitimization for their

occupational autonomy’ (DiMaggio and Powell 1983). In other words, they are

‘professionals’.

Pluralistic tension was caused by the requirements for commercially-oriented

performance whilst maintaining their professional role in society and ensuring

quality public services (Satow 1975). The LGA was required to pursue multiple

strategic objectives in the provision of statutory government services (such as

libraries) and discretionary services (such as leisure and sport). They were also

required to meet quality standards of service and practice, to demonstrate a

government concept of ‘Best Value’, and evidence resource efficiency, as well as

complying with professional codes and guidelines, and pressures from users of the

services.

External Strategizing Pluralism and Internal Organizing Pluralism -

Conclusion

The world is pluralistic but organizational theorists tend to homogenize it (Glynn et

al. 2000b). Empirical evidence supporting the pluralism literature has been found

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during the participatory action research cycles of both external strategizing pluralism

and internal organizing pluralism. The evidence of pluralism may also lead to a

strategizing theory-practice gap which is discussed next.

Theory-Practice Gap

The evidence surfaced from the participative action research programme is discussed

next in this chapter. The theory-practice gap is revealed within the discussion of the

findings in comparison to the literature on pluralistic organizing has unintended

strategizing implications. However, there were additional findings made by the PAR

team that are offered as the bases for future research. These are discussed in relation

to the literature on pluralistic strategizing pressures strain organizing capacity and

protracted tensions between organizing and strategizing.

Pluralistic organizing has unintended strategizing implications

In this opening discussion upon the findings, the evidence of unintended strategizing

implications as a result of the pluralistic organizing is drawn out. First, the fact that

the organization was structured for regulation, command and control but there were

many other types of service being delivered, and secondly, the role of the street

bureaucrats and the resultant emergent strategy are discussed.

Theory-Practice Gap: Structured for Regulation, Command and Control

Below in Figure 12 entitled Schematic of theory-practice gap: structured for

regulation, command and control is a map of the topics drawn from the PAR cycles

that reflected the organization was structured as an Authority for regulation and

control. It was not an organization structure designed for care and well-being.

Relatively few services delivered by the researched Service Area were regulation

and control. Most services delivered were for citizen care and well-being.

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Figure 12: Schematic of Theory-Practice Gap: structured for regulation, command

and control (developed for the purposes of this thesis)

The above figure shows the top-down behaviour control evidenced by the

strategizing process maps. From the bottom-left of the figure, the organization is

shown to be structured by function for the efficiency of that function and so not

organized for the convenience of the service recipients of the time.

From the initial findings, the external and internal strategy drivers seemed quite clear

and were confirmed by the Participative Action Research (“PAR”) team as well as

the management team. The map drawn as part of the first PAR cycle and shown in

Figure 5, entitled the context drivers & challenges, reflected a predominant concern

for the challenges faced by the strategizing process. The significant cluster of issues

revolved around strategy implementation. This included how to cascade it down the

organisation and how to gain commitment from all of the employees involved.

However, the main concern was how to impose the strategy and eliminate dissention

and rejection of the strategy and its strategic objectives through individual targets.

This topic is included in Figure 12 above as ‘How to Impose Strategy’, shown in a

box above the centre of the map. Figure 12 shows the linkages between many of the

topics and issues raised by the PAR team during the cycles and reported in the this

chapter.

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From the perspective of the middle manager, the LGA’s strategizing process was

designed as a top-down process that prescribed behaviour for the organization’s

staff. Below in Figures 13 and 14 are reproduced the schematics of the LGA’s

strategy development process and the strategy implementation process.

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Figure 13: LGA Schematic of the strategic policy framework

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Figure 14: LGA Policy in to practice framework

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The strategizing maps in Figures 13 and 14 illustrate that unlike other countries, the

public sector reform in the UK, New Public Management, was influenced by top-

down agency theory (Stewart 2004). The resulting bureaucratic strategy is

something to be constrained by top-down control and not encouraged at the lower

levels. This top-down, command and control structure, systems and culture were

reflected clearly in the two schematics above of policy development and policy

implementation. The New Public Management increase in policy centralisation

combined with quasi-markets and contracting out reinforced the separation of

politics (policy and strategy formulation) and administration (policy and strategy

implementation). The LGA was structured to more efficiently deliver a single,

dominant type of service only (Beinhocker 2006; Collins and Porras 1997; Foster

and Kaplan 2001; Larreche and Srinivasan 1982; March 1991; Peters and Waterman

2004).

From a review of the documentation, it was apparent that the policy and strategy

development process did not provide for dialogue, discussion and contribution from

the professionals in the field (DeLeon and DeLeon 2002). The implementation of

this strategy was also represented by top-down instruction (O’Toole 2004).

It would appear to the professionals and middle management that the senior

management approach was one of agency-based distrust (Angwin 2007). The

behaviour control methods associated with New Public Management, modernization

and managerialism was leading to the de-skilling of the professionals by removing

their discretionary decision powers. The middle management was dependent upon

the professionals in the field to deliver the strategy. In order to gain commitment,

they sought to involve them in the departmental strategizing process. However,

discretion was limited as the strategy was imposed, top-down. Therefore, the only

option for discretion was the re-writing of history to give the perception that

implementation did fit the strategy imposed. The professionals were then able to

describe their daily routines and any personal projects or initiatives using the

language of the imposed strategy. Each year they went through this re-writing

process to fit the current strategy themes handed down to them by senior

management and the politicians.

The strategy ‘imposed’ was mostly described in aspirational tones. The broad

themes, or overriding strategic objectives, mirrored those set by the Welsh

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government. The themes and targets set by the community strategy plan rarely

stated measurable outcome targets for the period of the strategy. This lack of

precision enabled the professionals to rewrite their own strategy each year coached

in the terms and phrases of one of that year’s strategic themes, such as inclusivity,

sustainability or obesity.

The result was a gap between the agency-based, top-down strategy prescription

(O’Toole 2004) and the bottom-up implementation in the field based upon

professional discretion. Neither party was getting what they felt best. Both were

forced to compromise and the middle managers were caught between the two

factions (one manager described it as being caught in a ‘pincer movement’). The

assumption that all services could be managed and developed in similar ways was

proving to be difficult. The fact that the external and internal stakeholders were

from many different backgrounds, with widely varying knowledge, experience and

skills, and were interdependently making decisions that influenced their future,

resulted in a far more complex organization. The linear, top-down strategizing

process in this environment did not deliver the decisive management control that this

strategizing process required for success. These issues are discussed in more detail

in a later discussion on Different Government Activities Require Different

Organizations, under the section on protracted tensions between organizing and

strategizing.

The LGA policy and strategic objectives were set by external stakeholders consisting

principally of politicians and pressure groups. Some 600 identified stakeholders

were invited to participate in the development of the community strategy plan

document. About 250 agreed to participate. Over 100 local public, private and

voluntary sector organizations have agreed the community plan. The community

planning implementation group co-ordinated and oversaw the community planning

partnership and supported partner organizations to implement the community

strategy. This group consisted of 20 individuals, drawn from the local

‘establishment’. Included in this number were the Leader and Deputy Leaders of the

Council and two members of the senior management team of the LGA. The rest

represented public and not-for-profit sector organizations. Residential communities

within the LGA were not directly represented, nor were the professionals that serve

those communities. There were representatives from the police, NHS, Health Board,

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Higher Education, Probation Service, Job Centre Plus, Environment Agency, Church

of Wales, Chamber of Commerce, Sports Council, Housing Association and other

charity and public sector organizations.

The community strategy and the community strategy action plan were both drawn-up

by these establishment figures and presented to the LGA’s full council for approval.

It is worth noting at this point that these politicians were elected by votes based upon

trust and ethics only, not detailed policy (Potter 1988). The community plan

reflected the policies of the Welsh government as interpreted from the strategic

position of the Community Planning Implementation Group and those organizations

that contributed to the discussions. As such, it was a consensus borne of

compromise (Jarzabkowski and Fenton 2006). The strategic objectives were stated

more in terms of themes rather than specific quantified targets to be achieved within

the period of the annual LGA strategy.

When interpreted by each of the diverse interests that are internal to the organization

(politicians, senior management, administrators, professionals, middle management)

then the specific strategic objectives could have appeared ambiguous, uncertain and

complex (Jarzabkowski and Fenton 2006). This was especially the case given that

many strategic objectives could not be delivered by the LGA alone. The community

action plan was a ‘co-ordination’ of activities by numerous government agencies and

other not-for-profit organizations. Upon reflection, the PAR team realised that there

was a clear break in the cascading of top-down strategy below the middle

management level.

There was a gap between the top-down theoretical imposition of strategy by the

politicians and the pragmatic practice of bottom-up implementation by the

professionals. Although the Community Strategy recognised and involved the co-

ordination of other key service providers, the strategizing process lacked the specific

policy input from the various marginalised communities who required the services

most. It also specifically avoided any input from the front-line professional staff that

held the relevant knowledge, experience and skills. These professionals and their

clients were the ones that needed the service and delivered it. The impact of this top-

down strategizing approach upon the commitment to the strategy and its strategic

aims by the staff and professionals responsible for its front-line delivery is the

subject of the next section.

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Theory-Practice Gap: Street Bureaucracy and the Politicization of the

Citizen

Street-level bureaucrats are workers who interact with, and have wide discretion

over, the dispensation of benefits or the allocation of public sanctions (Lipsky 1980).

Street-level bureaucrats are not just working in an organization, they are working

and located at its boundaries (Hill 2005). A profession is an occupation whose

members have managed to define the conditions and methods of their work and

established a cognitive base and legitimization for their occupational autonomy

(DiMaggio and Powell 1983). Many professionals are street-level bureaucrats and

all street-level bureaucrats are professionals in their own perception (Hupe and Hill

2007). Street-level bureaucrats operate in a network or web of relationships, both

vertical and horizontal (Hupe and Hill 2007). As such, they have pluralistic

accountability.

From the above strategizing and commitment gaps discussed in this chapter, it was

apparent that strategic objectives and targets were handed down. The top-down

approach to strategy implementation followed the bureaucratic separation of policy

from implementation, co-ordination and control through hierarchy and authority

(Barrett 2004). In order to handle context, human judgement cannot be replaced by

standardization (Lipsky 1980). The street-level bureaucrat uses their discretion

within the pluralistic context of their workplace. The reactions of the participants in

this action research programme were that it was perceived that the staff were

continually rewriting the same professional activities in different ways to fit in with

the latest political theme.

As discussed later in this chapter under Different Government Activities, this

organization was structured and organized to manage and deliver the ‘routine’

services through a regulation and control business model. However, the strategic

objectives often called for additional or different services. The strategy did not

recognise that exploration of new ventures required a completely different approach

to that of exploiting existing resources to deliver existing services. Different service

provision required a different approach to strategy, structure, systems and

organizational culture, leadership and management styles, and staff with different

demographics and skills (Bryan 2008). The frontline staff were employed fulltime

on delivering the existing services. If asked, they found convenient slots within the

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latest strategy document to list their routine services by changing their vocabulary to

fit the tone of the latest handed-down strategy.

The above empirical evidence supports Lipsky’s street-level coping mechanisms of

self-defence, minimizing negative aspects and job frustration(Lipsky 1980). These

street-level bureaucrats used coping mechanisms because they experienced a gap

between the demands for their services and the resources available. It was a lose-

lose situation with neither the client nor frontline service provider satisfied. Next we

look at empirical evidence of a different coping mechanism – one that is positively

motivated, a way to gain job satisfaction, a win-win (Nielsen 2006).

Distrust was a two-way phenomena and not just a mistrust of direct reports from

within the organization. A manager was not comfortable to share his vision for the

department because people would challenge or attack them. He preferred to work on

creating ‘an energy’ within the community that drove itself, and that objectors could

not stop. To illustrate his point, the manager told a story, surfaced in response to the

sixth research question of the action research cycle, about the play pods and reported

in the previous chapter.

Much of the literature on the activities and discretionary interpretation of policy and

strategy by frontline implementers is not relatively recent and from North America.

However, the topic has been revived in the U.K., not as the original title of street-

level bureaucracy but as ‘principled infidelity’ (Wallace and Fertig 2008). As the

preceding section revealed, top-down strategy failed to deliver frontline

commitment. Equally, as illustrated in the story of the children’s’ play pod, the top-

down approach does not take in to account the principled infidelity of the street-level

bureaucrat (Hjern 1982; Hjern and Hull 1982; Lipsky 1971, 1980; Prottas 1979) and

the street-level bureaucrats role of interpreters of central policy (Thompson 1982).

The play pod story is evidence of the wide discretion and range of interpretation the

frontline implementers had or could achieve in how policy affected the citizens they

contacted (Schofield 2001). Reflecting the external pluralism discussed at the

beginning of this chapter, the frontline professionals implementing the strategy faced

dilemmas of work autonomy, responsibility to the clients, as well as the duty to

implement the policies and strategies as directed (Hill 1993). The accountability of

the frontline service provider is therefore multiple and not just vertical (Day and

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Klein 1987; Pollitt 2003). This local interpretation of policy implementation could

be conceived as adaptive implementation. Adaptive implementation was beneficial

where social policy was ambiguous or experimental (Maynard-Moody et al. 1990).

The strategy and the strategic objectives in this authority were often confusing as

discussed in the sections above. They were a result of external strategizing pluralism

and internal organizing pluralism. They were complex, uncertain and ambiguous.

Top-down models did not cater for the messiness of policy-making, behavioural

complexity, goal ambiguity and contradiction (Schofield 2001). The bottom-up

approach recognised that policy formulation and implementation were not separate,

independent functions (Milwood 1980). The role of street-level bureaucracy will

always be important, probably more so for final policy outcome than central policy-

making (Sabatier 1991).

This empirical research programme found a gap between the standardized, generic

policy to be applied across the board by the strategy and the interpretation of these

objectives by the frontline strategy implementers. These frontline, street bureaucrats

not only interpreted the strategy to fit the specific, unique context of each

neighbourhood but also educated the citizens to appreciate their own power through

their politicization. The staff also restated their plans to fit the format of the current

top-down strategy by rephrasing them using the current political language, such as

inclusion or sustainability or reduction of obesity – whatever programme was the

‘flavour of the day’.

Pluralistic strategizing pressures strain organizing capacity – for

further research

This section looks at the findings of strain upon the organizing capacity of the

organization caused by pluralistic strategizing pressures and offers the findings as a

basis for further research. This section looks at three findings. First is the paradox

of top-down commitment, next are political aspirations and pragmatic

implementation, and lastly public sector ethos and its antithesis to that of senior

management. These topics were surfaced in the research findings and are discussed

as the basis for future research.

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Theory-Practice Gap: Paradox of Top-Down Commitment

The first action research cycle identified that the key challenge was to gain staff

commitment to the implementation of the top-down strategy. This was the

conclusion from the reflection process after the map of drivers and challenges had

been drawn.

In the final participatory action research cycle in answer to the action research

question of what were the unintended outcomes, the members of the PAR teams did

not feel involved or committed to the LGA’s strategy because they had not

participated in the formulation of the strategy (Deacon and Mann 1999). The LGA

vision, mission and strategy were perceived by the PAR teams as being set by the

politicians and the corporate board. The PAR team members, all middle managers,

were responsible for professional functions but the LGA’s strategy documents were

couched in expressions of aspirational themes, such as obesity reduction or

inclusivity, not specific departmental functions or by professional body. The long-

term political themes crossed professions, functions, departments and organizations.

The PAR team members, responsible for professional departments and services,

were measured and rewarded upon their annual performance against budget. This

was behaviour control based upon agency theory (Eisenhardt 1989a; Harris and

Raviv 1979; Jensen and Meckling 1976; Ross 1973). The strategy documents were

understood by the PAR team members as a temporal and functional mismatch.

As the middle managers in the PAR team had not participated in the strategy

formulation, they were not committed to its success. They found it difficult to

understand or reconcile their own professional strategic intentions with the cross-

cutting themes of the LGA’s strategy documents.

A command and control organizational approach failed to capture the hearts and

minds of these middle level managers who actually deliver the service (McKevitt

and Lawton 1996). The strategizing process failed to involve the frontline service

providers or their clients. Rather than embracing the pluralistic nature of the

stakeholders, the strategizing process was tightly held at the top of the organization.

The apparent lack of involvement and commitment by the frontline service providers

to the top-down strategy contributed to the practice-theory gap revealed in this

empirical study.

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Theory-Practice Gap: Political Aspirations and Pragmatic Implementation

As per the empirical evidence from this research programme, public policy is not

that which is promulgated in high-powered boardrooms but that which is actually

implemented by the frontline service providers. It is the coping routines and devices

of the frontline service provider (Lipsky 1980), as outlined above.

The strategizing by this LGA was a top-down process, as detailed above in the

section: Theory-Practice Gap: Structured for Regulation, Command and Control.

Central UK Government and the Welsh government set service targets. The

community strategy, as required by law, was the prime strategy document. This

document was drawn up in collaboration with other government agencies and not-

for-profit organizations (such as Police, Fire, NHS trust, and the Church of Wales).

There was a very specific split of responsibility and authority between the

politicians’ role of devising policy (embodied in the community strategy document)

and the employees’ role of implementing what they were told (the community

strategy action plan document). The employees repeatedly stated that it was only the

politicians who had the authority to develop revised or new services. The

expectations of this research programme to find empirical evidence of the published

literature on localisation were disconfirmed. There was no empirical evidence of

area committees or representatives of neighbourhoods and communities contributing

to policy (Kathi and Cooper 2005). The maps above of the policy development

process and the strategy implementation process corroborate this fact. As outlined

above, under street-level bureaucrats, standardised, generic national targets do not

specifically address marginalised communities and their service requirements. The

LGA was structured, as for regulation and control, around service delivery functions

and not by client segmentation (elderly and infirm, young families, ethnic minorities,

businesses, etc.), all of which require slightly, or very different types of service and

service deliveries.

This LGA set out its political aspirations as longer-term goals in its community

strategy. The goals were expressed as not just function-crossing but also across

agencies and sectors. These long-term, cross-cutting goals were set in aspirational

terms, not as specific outcome goals. The employees were measured upon their

performance against the annual budget. As such, the cross-cutting, longer-term goals

were ambiguous, complex and uncertain. Within the constraints of their functional

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organization structure, they implemented policy as per their interpretation as outlined

in the previous section on street-level bureaucrats. There was a clear gap between

political aspirations and implementation. The impact upon employee performance

through attempted changes to the public service ethos by the modernization of local

government as a result of top-down political convenience is discussed next.

Theory-Practice Gap: Top-Down Political Convenience and the Professional

and Public Service Ethos

Top-down communication was evident but evidence was not found of dialogue with

contributions sought, or systems to collect, the specific requirements of discrete

communities as opposed to inflexible generic solutions; there appeared to be no

recognition of the fact that peer pressure and professional bodies influenced staff

behaviour and decisions as well as public service ethos. There were many factors

that contributed to the perception of the participatory action research team that their

behaviour was being increasingly constrained, their services de-skilled and

standardized for mass-production. They were being McDonaldized (Ritzer 1993).

These performance and behaviour constraints, imposed based upon the mistrust of

Agency Theory or ‘Agency Problem’, rejected the notion of trust that is a foundation

of public ethos. The elected politician replaced the ‘public good’. Commitment has

traditionally relied upon the public sector ethos. This local government ethos had a

set of core values that informed behaviour (Pratchett and Wingfield 1994):

accountability; honesty and impartiality; serving the community, altruistic

motivation and a sense of loyalty to community, profession and organization. The

increasingly centralized, top-down government continually chipped away at public

ethos and professional influence.

From this empirical research, the PAR team identified whole departments that were

frozen in time. Significant uncertainty surrounded the nature of their services due to

technology and lifestyle changes, such a service affected was library services.

However, they waited for the elected councillor with responsibility for that and other

services to develop new policies. Until new direction, confirmed by the cabinet, was

forthcoming, they awaited their fate.

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Protracted tensions between organizing and strategizing – for further

research

This last section looks at evidence of the continual friction and tension between

organizing and strategizing as the basis for further research. First, evidence is found

of the local government authority as a complex adaptive system although its ability

to adapt is constrained. Next evidence of different services requiring different forms

of organizing is explored, and finally the tensions between public sector ethos and

more managerialist strategy are discussed.

Local government is a constrained complex adaptive system

In this part of the research discussion, the findings that the Local Government

Authority (“LGA”) was a Complex Adaptive System (“CAS”) with both internal and

external pluralism are confirmed. The discussion then moves to the thematic nature

of the strategic objectives that crossed organizational barriers and the public/private

sectors triggering the requirement for more governance and less command and

control government. Lastly, this complex adaptive system is constrained by actors in

ways that can be explained by reference to the characteristics of Institutional and

Structuration Theories which reveal the inability of the organization to adapt to its

new context. Below, in Figure 14, is a map of the discussion in this section.

Figure 15: Structure of Discussion: Local Government is a Constrained CAS

(Developed for the purposes of this thesis)

The external community was a geographical collection of enormously wide

worldviews. That is, neighbourhood inhabitants (one school alone had a reported

cohort with some 26 different mother tongues); commercial and industrial

organizations; as well as the public sector organizations; and the third sector (not-

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for-profit). Each of the members of the community were taking decisions and

actions daily that impacted upon each other and influencing their future environment.

They were all interdependent upon each other. No single worldview was dominant.

This was the pluralistic nature of the LGA’s external environment. Internally, there

were equally widely divergent worldviews held by different professionals,

administrators, and levels of management, as well as the politicians. In general, the

higher the numbers, the higher the complexity (Morcol 2002). The consensus

strategic objectives were ambiguous, uncertain and complex. This LGA was a

complex adaptive system.

The research findings were that a consensus of strategic aspirations, drawn up by

members of the local establishment (within the policy intentions of the National

Assembly), were imposed down the hierarchical levels of the LGA. An alternative

would have been more governance and less government. The research study herein

reported explored the difference between government and governance. From the

research findings, traditional government had institutional command and control of

the distinctive and separate roles of the local government, the citizens and private

institutions. Governance, though, was seen to be a facilitating institution.

Governance facilitates communities of citizens and social organizations to produce

social goods and services (Meek et al. 2007). This facilitating governance approach

was not found in the research reported herein.

The research findings confirmed the provision of local services was a paradox as

outlined next. Local government was unable to solve all, or even many, of the

communities’ problems. Social problems had outpaced conventional institutional

solutions. Typically, in this case study, the government-set strategic objectives have

been inclusivity, sustainability, and the reduction of obesity. These objectives did

not fall within the jurisdiction of a single government department. These issues

crossed departments, functions and professions. They crossed sector and industry

boundaries. The solutions explored by the participatory action research teams were

local government partnering with communities and contributing to the solution-

making. This reflected a change in the fundamental nature of the relationships and

associations among the citizens, policy makers and local government (Meek et al.

2007). These changes were necessary in an increasingly complex environment.

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From the research findings, governance instead of government will be required to

solve these strategic objectives. Governance works by the stakeholders of an issue

drawing around and defining the problem from each of their differing perspectives so

that a broader understanding and definition may be reached (Meek et al. 2007).

These collaborative networks work across functional, professional and sector,

vertical hierarchies. Each party brings their own unique knowledge, experience and

skills to bear upon their common problem. Then, possible solutions may be

generated based upon the individual and then collaborative competences of all the

key stakeholders. Solutions will emerge that an individual could not have achieved

on their own. This emergent behaviour is a characteristic of complex adaptive

systems.

Typical characteristics of complex adaptive systems are variety, co-adaptation and

co-evolution (Boulton and Allen 2007). The cross-functional, cross-sector nature of

the government’s strategic objectives calls for co-adaptation and co-evolution across

the community and the organizations that are attempting to deliver these types of

broad social changes. The institutionalised, bureaucratic hierarchies that have been

used to deliver standardized commodity services on a routine basis will need to be

complemented by networks populated by the stakeholders of each social change,

across organizations and sectors. In this way not only are resources shared but so too

is power. Network and organizational goals are compatible (Meek et al. 2007).

This research found extensive external and internal pluralism resulted in a non-linear

complex system. Complex Adaptive Systems (“CAS”) theory is relevant to public

administration (Blackman 2001; Chapman 2002; Pierce 2000). From the research

findings, large numbers of external and internal actors, or agents, were found to be

mutually interdependent (Baumol and Benhabib 1989; Dyke 1990; Freedman 1992;

Gould 1987; Prigogine and Stengers 1984) and influenced future events through a

network of feedback loops (Anderson 1999). Human complex systems were

comprised of many diverse components (pluralism) that were loosely linked, not

necessarily linearly, and produced emergent patterns of systemic behaviour (Meek et

al. 2007).

As discussed earlier, the implementation of strategy can be classified as three

different forms of change (Stacey 1993). The internal and external pluralism

experienced by this LGA and the future uncertainties reflected open-ended change.

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The other two possible types of change were closed change and contained change.


and effect and reasonably accurately forecastable consequences of the change.


consequences of the change programme. In the open-ended change called by some

of the strategic objectives set for this LGA, the future consequences were made

difficult due to the ambiguous purposes and equivocal preferences of the external

and internal pluralism.

This understanding revealed paradoxes and dilemmas. All three types of change

were evidenced in this LGA but whilst the organization was configured to manage

closed and even contained change, it was not organized to manage in an environment

of open-ended change. The themed strategic objectives of the government, such as

eradication of obesity, called for open-ended change. Achievement of such

objectives was seen to require the acceptance and absorption of complexity by the

organization. The traditional, rational strategizing approach of the LGA sought to

reduce complexity (closed and contained change).

The organization was a linear, hierarchical bureaucracy struggling to serve a

pluralism of stakeholders, agendas and expectations in a more turbulent environment

than when ‘the authority’ was originally formed. There was external strategizing

plurality and internal organizing plurality (Jarzabkowski and Fenton 2006). It was

wrestling with complex problems that crossed functional, authority and sector

boundaries. The organization exhibited many of the attributes of a complex adaptive

system but it was constrained by politicians & administrators in line with generally

accepted, traditional beliefs in the purpose, structure and behaviour of local

authorities.

To put these findings into context, this discussion will now turn to Institutional

theory and then Structuration Theory for explanations. Institutional theory states that

organizations are not autonomous and free to follow their own economic activity but

are constrained by social prescriptions as they conform to the social norms of

society’s web within which they operate. This social web within which they operate

influences, constrains and shapes the organization’s strategy, structure, practices and

managerial decisions (Johnson and Greenwood 2007; Meyer and Rowan 1977;

Tolbert and Zucker 1983, 1996). The prescribed ideas and beliefs on management

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conduct are conveyed to organizations from the government, professional institutions

and other bodies (DiMaggio and Powell 1983). These are the findings in this case

study. The LGA was unable to flex and adapt to its changing context because of

these constraints.

In return for conforming to these social prescriptions, the organization earned

support and approval, thereby increasing their legitimacy (Baum and Oliver 1991).

The social prescriptions over time became ingrained within the organization as part

of the unquestioned or even unrealised (‘that’s the way we do things around here’)

values, beliefs and assumptions that form the organization’s culture (Meyer and

Rowan 1977). Even if surfaced, these deeply embedded prescriptions can be

difficult to refute or change (DiMaggio and Powell 1983).

Conforming to social prescriptions may have resulted in decisions that were less

efficient than those taken in a free market environment but the social web’s support

and approval ensured longer-term survival (Oliver 1997). The result of this social

web is that similar LGA organizations will conform to the same prescriptions which

results in all the organizations adopting similar decisions and strategies (DiMaggio

and Powell 1983; Johnson and Greenwood 2007; Meyer and Rowan 1977).

The hierarchical structure found within this organization and its inability to flex and

adapt to a changing context also was explained by comparison to structuration

theory. The LGA’s structure shaped action and behaviour which in turn enforced

and reproduced the structure by those very actions and behaviours. The existing

structures and relationships in the LGA’s organizational field acted to shape the

behaviour of organizations within that field. Conforming amplified the structures.

The LGA was constrained from adapting its structure to the network concepts

demanded by a complex adaptive system in order to solve the cross-sector problems

(DiMaggio and Powell 1983).

In this discussion, it was argued that the external and internal pluralistic nature of the

organization resulted in a complex adaptive system that required less government

and more governance. The organization was constrained from adapting due to the

constraints identified by comparison to institutional theory and structuration theory.

In the next part of this chapter, the implications of all the points covered in these

discussions will be shown to contribute to the lack of democratic voice.

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Different government activities require different organizations

At the culmination of the second phase of the action research spiral, as reported in

Chapter Four, the members of the PAR team noted that it was social themes rather

than functional activities that linked the various strategy documents. These themes

appeared to be cross-functional and in many instances cross-entity, some even

bridging the public and private sectors. The service area was predominantly

structured by functions that reflected the different professionals that staffed and ran

the organization.

From the evidence gathered by the PAR team, the organization was still structured

along functional lines. The service delivery of this LGA was not structured to focus

upon individual community or client segments. It was not structured in-line with its

clients’ needs. Individual functions independently established geographical

presence. The numerous services may have been received better by client segments

if the delivery were tailored specifically for each different community or ‘segment’.

This greater focus may help eliminate waste. Effectively, strategic business units

could be established for different client segments and the delivery of the different

public services allocated to the relevant segments. By tuning the service more finely

to the target client community, it could be both more effective and efficient. This is

an area for future research.

Another finding raised by the PAR team for future research was the developmental

element of the work. It was critical to develop the service provision or even add new

services but this finding conflicted with the central role of politicians and the

corporate management who saw it as their position to develop all policies or approve

all development decisions. This clearly reflected the traditional agency theory of

splitting policy formulation by the politicians from implementation by the

professional staff.

It is argued here that the nature of the services must be defined. The generic,

commodity services, or regulation and control, may be delivered more efficiently

with a process-centric organization of top-down strategizing, exploiting existing

resources, including the knowledge, experience and skills of the workforce. New

ventures, projects and existing services that are not amenable to standardized

production line solutions may be delivered more effectively with a people-centric

organization. A people-centric organization blends top-down and bottom-up

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strategizing, acquiring and developing new resources, including knowledge,

experiences and skills. It is an organization that is continuously learning, adapting

and emerging. An example would be the Visa credit card company which was

designed on the principles of a complex adaptive system with devolved

responsibilities and authority, able to deliver the learning and creativity described

above (Hamel 2006).

A similar split can also be used to describe the nature of the organization depending

upon whether it seeks exploration or exploitation (March 1991), or similarly

expressed as build or harvest (Larreche and Srinivasan 1982). A process-centric

organization may be more efficient at exploiting the existing organizational

resources and competences. Its emphasis upon standardization, efficiency and low-

cost make it more relevant for managing the routine business of an organization. A

people-centric organization with its emphasis upon learning and experimentation

may be more effective at exploring and developing new resources and competences

for the future.

Normally, an organization will need both approaches. Exploitation of the existing

resources to deliver the routine services may provide cash to fund the new

product/service development. In most organizations, there is often the need to

provide the routine services for the best value. Equally, many organizations should

prepare for the future, the next new idea, technology wave or social change, if they

are to avoid strategic drift. Both approaches are required within the LGA.

Many organizations face the two demands of executing current activities in order to

survive today, and the necessity to adapt those activities to survive tomorrow

(Beinhocker 2006). Other authors have referred to this need to perform in the short

term and invest in the long-term. Peters and Waterman referred to the necessity of

an organization to be both ‘tight’ and ‘loose’ (Peters and Waterman 2004). Others

have described it as control and creativity (Collins and Porras 1997), operating

versus innovating (Foster and Kaplan 2001), or ambidextrous organizations that can

operate as well as innovate (Tushman and O'Reilly 2002).

There will be elements of routine within both statutory and discretionary LGA

services. These commodity services may be served best by organizing along the

lines of process-centric exploitation with a top-down drive towards efficiency. Other

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non-routine, non-generic services may be delivered better through the approach of

person-centric exploration with a combination of top-down outcome goals and

bottom-up delivery strategy focused upon effectiveness. Rather than a single,

agency-based, top-down approach towards the organization’s structure, strategy and

systems, a more pluralistic approach may be better, incorporating both the process-

centric and people-centric models. The organization needs to match the pluralistic,

complex nature of its environment with matching structure, strategy and systems to

reflect the exploitation and exploration nature of the environment (Jarzabkowski and

Fenton 2006).

The above arguments developed from the findings are proffered from this research

study as the possible basis for future research. It is explained and argued next in this

chapter that a different type of strategizing process is more effective for this

organization that is required to explore, be creative and innovative. This strategizing

process is based upon a few, top-down, simple rules, and continuous learning and

experimentation in a constantly flexing fitness landscape. For the routine

standardized services, a more hierarchical structure reflecting a command and

control approach may be more relevant to deliver a cost-effective and efficient

service. In the stable and relatively simple environment of these commodity

services, the traditional top-down approach to strategizing may be more efficient.

This is similar to the traditional LGA structure.

However, at some point in time, most services will become out of touch with the

changing and emerging requirements of society. For developing new or more

effective services and those that cross functions, an alternative, more effective

strategizing process is required. That is the topic of this discussion. A schematic of

the discussion is shown below in Figure 16 and is adapted from the model by Stacey

(1993) on the three different types of change, discussed in the review of literature.

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Figure 16: Schematic of Strategizing (adapted from Stacey 1993)

For this discussion, focus will be upon three points along a Certainty-Chaos

continuum. The contained change environment of uncertainty (Stacey 1993) that can

be modelled reliably with probalistic forecasts may be more relevant to some of the

more traditional, longer-standing services of the LGA and the internal administrative

services of the Authority. Outside the private sector, the structuralist use of diverse,

populous advisory boards and structures are used because majority power bases are

hard to form amongst the invited participants and they are more easily guided to

agreeing to the objectives of the organization’s leadership. It could be that the

community plan accidentally fell in to a similar category. This reflects the political,

structuralist environment of the LGA.

Even in a more turbulent segment of the service provision, it is still beneficial to

complete an industry analysis to understand better how we arrived at where we are

today, even if it cannot be projected forward to predict the future. As well as flexing

and adapting the strategizing approach, all other aspects of the organization must be

synchronized, or patched (Brown and Eisenhardt 1998a). The organizational

structure, the systems, organizational culture, leadership and management style, staff

demographics and skills all need to be dynamically aligned (Bryan 2008).

In summary, this organization was structured along traditional lines for regulation

and control; after all, it was an LGA – local government authority. However, other

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services were for citizen well-being that required 'help and assistance' and not

command and control. Equally, the community strategy was identifying many of

today’s problems that were complex and required innovation and experimentation

across department, agency and sector boundaries. Whilst the regulation and control

services of the local government might be run more efficiently with the highly

structured, formal business model in place, the other types of service provision may

be more effectively run with differing, looser business models, including a less

formal strategizing system instead of a formal planning system with more inclusive

processes. More so, for these non-regulatory services, strategy content must be

personal and more in line with public service ethos. Generic policies and strategies

are too inflexible or irrelevant to many sectors of community. Many of today’s

problems which are reflected in government policies are themes, such as obesity

which cross functions, departments, services, agencies and sectors. Nevertheless,

government is still predominantly organised and structured by function.

Lack of democratic voice

In this discussion, the findings do not confirm the literature on localism or the public

service attribute of equitability, whilst the public service delivery method evidences

performance management and the lack of voice. A map of the discussion in this

section is shown below in Figure 17.

Figure 17: Structure of Discussion: Lack of Democratic Voice


The participants and the processes to engage them in the strategizing process were

summarized in the diagrams that were part of the findings by the participative action

research cycles and were discussed in Chapter Four. The findings clearly illustrated

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top-down, command and control with no consultation with either the front-line

service deliverers or the service recipients upon policy and strategy. This finding

differs from the literature on modernisation, ‘the third way’ (Blair 1998),

engagement and delegation to neighbourhoods and local communities.

Evidence of the New Labour driver of citizen participation (Coaffee and Johnston

2005) was not found in this research programme. Local government was required to

develop a more flexible, enabling approach reflecting pragmatism, accountability

and transparency, with wider consultation with citizens (Coaffee and Johnston 2005).

This meant a bottom-up approach instead of a top-down approach. However, some

have pointed out that local authorities were left on their own to work out how to

implement this complex task (Merchant 2003). The research findings were that

other service providers were consulted as part of the community strategy action plan

(predominantly government and third-sector not for profit organizations) but not

neighbourhoods, communities and citizens. Elected councillors acted as agents for

the citizens but political elections are only votes on trust and ethics, not detailed

policies (Rhodes 1987).

The New Localism approach was dependent upon the local authority trusting

localities not to misuse the opportunities (Raysford 2004). The diagrams of the

strategizing process do not evidence delegation to localities. The research evidence

would confirm the previous government tendency to prescribe policy to localities

(Johnston and Coaffee 2004). Contrary to the literature, strategy was not devolved;

community voice was not enhanced and empowered with decision-making

processes. Service delivery was not decentralised to the sub-local level nor were

local communities given a voice in decisions through area committees (Coaffee and

Johnston 2005).

The Local Government Act (2000) enabled and empowered area committees with

limited power and responsibility from the local authority executive to refine local

service delivery. This was part of the government’s campaign publicised as ‘joined-

up’ thinking, and transformation to community-led governance (Coaffee and Healey

2003; Taylor and Gaster 2001). Neighbourhoods enable individuals and

communities to exercise greater choice, voice, and control over public services

(ODPM 2006). The inability to bridge the pluralistic context identified by this

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research may confirm the huge professional and cultural gulfs between stakeholders,

especially between public services staff and policy makers (Maddock 2002).

Stakeholder theory may also provide evidence as to why citizens were not widely

consulted upon strategy development. The normative approach to stakeholder theory

emphasises that all stakeholder interests are of intrinsic value (Donaldson and

Preston 1995). Alternatively, there has been an argument for not including

stakeholders who were too insignificant to worry about to others (Freeman 1984).

A systemic approach, such as complexity theory, embraces all stakeholders. In

addition, it identifies those that are indirect through second and third order of

magnitude (‘knock-on effects’) (Pascale et al. 2000). The lack of stakeholder

participation disconfirms the literature and evidences another constraint upon the

flexibility of the local authority as a complex adaptive system.

Le Grand established that a well provided public service had five attributes: quality,

efficiency, responsiveness, accountability and equitability (Le Grand 2007). The

service provision must be responsive to the individual needs and requirements of the

recipients of the service whilst being delivered equitably. As the citizens were not

widely consulted about the strategy, it was not responsive to their individual needs

and requirements.

The provision of high quality public service applies to the whole value chain (input,

process, output and outcomes). However, it is interesting and very relevant to this

research to note that the users of the service particularly require high quality at their

points of contact, the process and outcome. As also evidenced by this study, the

public service providers predominantly monitor and measure the easier, less

accountable parts of the chain, input and process. Therefore, whilst both the

recipient and the provider focus upon the process, the provider rarely monitors or

measures the service outcomes.

There are four public service delivery methods (Le Grand 2007). They are trust,

performance management, voice, and choice. Trust requires that professionals,

managers and others are trusted to deliver a high-quality public service based upon

the public sector ethos. This research found lack of trust.

Performance management is the command-and-control approach that uses targets as

a means to control the behaviour of service deliverers to comply with the

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expectations of a higher authority. This research found extensive evidence of this

delivery method and was reflected in the diagrams of the strategizing process within

this local authority.

Voice enables users and recipients of public services to communicate directly their

views, expectations and aspirations for the services. No evidence was found to

support the existence of this delivery method.

Finally, choice requires that service users choose from amongst competing service

providers for the provision of their services. The local authority does provide some

services such as leisure and sport which are available in the private sector. Equity is

social justice and fairness (Le Grand 2007) and one main reason why the services are

in both the public and private domains. The publicly provided services are

specifically targeted at citizens and groups of communities that are unable to

purchase the private sector services. One part of society should not be disadvantaged

when it comes to their well-being through fitness and health. The specific delivery

model used should be related to the nature of the service. For example, a regulation

and control function may be more suited to a command-and-control delivery system

whilst regenerating an inner city may benefit from consultation with the inhabitants.

Prior to New Labour, the concept of public participation was found to be secondary

to that of service delivery (Batley and Stoker 1991; Goldsmith 1996; Wolman 1995,

1996). The findings from this research confirm the earlier literature.

The structure, systems and processes, whilst reflecting ‘regulation and control’, in

the main, excluded service recipients or professional service providers from the

strategizing process. The systems were designed to communicate downwards but

not engage in dialogue or communicate directly from the street-level to the

directorship or leadership. The strategizing process appeared to be structured by and

for the 'Establishment' – the senior managers of public service organizations. The

findings of this research disconfirm the literature upon localisation, equitability and

community voice.

Theory-Practice Gap: Conclusion

The research findings confirmed that the LGA was operating within a context of

pluralistic external strategizing and internal organizing pluralism (Jarzabkowski and

Fenton 2006). In addition, the research findings identified that within this LGA,

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pluralistic organizing has unintended strategizing implications. The two findings

under this heading are the fact that first, ‘The Authority’ was structured to more

efficiently deliver services for regulation and control of constituents’ behaviour, and

secondly, street-level bureaucrats used their discretion in interpreting the

implementation of policies, and also politicized citizens. These two findings are

summarized next followed by summaries of other issues surfaced around the

research that require further research.

From the findings, this LGA was not designed for the external strategizing pluralism

or the internal organizing pluralism. The first gap discovered was that this LGA was

designed for routine regulation and control. It was not originally designed to deliver

other types of service. This was reflected in the strategizing process; the fact that it

was organizationally structured by service delivery function; controlled by systems

and processes; with top-down leadership style; an evolving organizational culture of

compliance and obedience, and the active de-skilling and de-professionalising of

staff. The strategizing process lacked the specific policy input from the various

marginalised communities who required the services most. It also specifically

avoided any input from the front-line professional staff that held the relevant

knowledge, experience and skills. This single organizing approach and structure is

in contrast to the literature (Beinhocker 2006; Collins and Porras 1997; Foster and

Kaplan 2001; Larreche and Srinivasan 1982; March 1991; Peters and Waterman

2004).

The second finding was that the pluralistic nature of the society served and the lack

of commitment on the frontline led to another phenomenon – street-level bureaucrats

and the politicization of the community. This empirical research programme found a

gap between the standardized, generic policy to be applied across the board by the

strategy and the interpretation of these objectives by the frontline strategy

implementers. These frontline, street bureaucrats not only interpreted the strategy to

fit the specific, unique context of each neighbourhood but also educated the citizens

to appreciate their own power through their politicization. The staff also restated

their plans to fit the format of the current top-down strategy by rephrasing them

using the current political language of the day. This confirms findings reported in

the USA of street-level bureaucrats (Thompson 1982).

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Other issues around the research, and summarized next, were identified and these

warrant further research. These additional issues were uncovered when looking at

pluralistic strategizing pressures straining organizing capacity, and protracted

tensions between organizing and strategizing.

The command and control organizational approach failed to capture the hearts and

minds of the middle-level managers who actually delivered the service (McKevitt

and Lawton 1996). As stated above, the strategizing process failed to involve the

frontline service providers or their clients. This lack of involvement and

commitment by the frontline service providers to the top-down strategy contributed

to the practice-theory gap revealed in this empirical study.

This LGA set out its political aspirations as longer-term themes in its community

strategy, described as topics that traversed agencies and sectors. The middle

managers were measured upon their performance against the annual budget. As

such, the cross-cutting, longer-term goals were ambiguous, complex and uncertain.

Within the constraints of their functional organization structure, the middle managers

implemented policy as per their interpretation as outlined in the previous section on

street-level bureaucrats. There was a clear gap between political aspirations and

implementation.

The impact upon employee performance by the modernization of local government

was another theory-practice gap. In the past, the performance and behaviour of local

government employees were governed by the strong public ethos, the influence of

professional bodies and unions. In the efforts to standardize services and their

delivery, staff were de-skilled and their discretionary authority curtailed. They were

being McDonaldized (Ritzer 1993) or institutionalised. At a time of increasing

turbulence, ambiguity, uncertainty and complexity, staff were made increasingly less

flexible and adaptable.

These theory-practice gaps, caused largely by external strategizing pluralism and

internal organizing pluralism require different organizations, or business models,

from that of regulation and control.

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Conclusions about the research problem

This research set out to gain a better understanding of the strategizing process in a

local government authority, specifically from the perspective of middle management.

The research question was: How does Government Strategize Locally from a Middle

Management Perspective?

The action research method used specifically surfaced theory-practice gaps.

However, the first important conclusion from the findings confirmed the literature

upon pluralism (Jarzabkowski and Fenton 2006). This LGA was strategizing in a

context of pluralism with pluralistic external strategizing and internal organizing

pluralism. Next, the findings confirmed the literature that the pluralistic organizing

of this LGA had unintended strategizing implications (Jarzabkowski and Fenton

2006). There were two major findings that support this claim. First, the

organization and structure were designed and evolved from a time when the role of

‘The Authority’ was regulation and control of its citizens’ behaviour. This single

organizational approach of top-down management did not confirm the literature on

the requirement of organizations operating in a context of pluralism (Beinhocker

2006; Collins and Porras 1997; Foster and Kaplan 2001; Larreche and Srinivasan

1982; March 1991; Peters and Waterman 2004). Secondly, the research findings

surfaced evidence of street-level bureaucrats. This confirms research reported in the

USA (Thompson 1982). Effectively, because the organization attempted to impose a

single organizing top-down structure and systems, the pluralistic nature of the

internal organization reacted by the service deliverers using their own discretion

when interpreting the policy implementation. This pluralistic organizing had

unintended strategizing implications. The strategy implemented locally was not

necessarily that stated in the policy document. Additionally, the practices used by

the street-level bureaucrats and their deliberate empowerment of community citizens

led to unintended policy changes to reflect the service aspirations of the service

providers and their recipients as they were delivered. There was a gap in the strategy

implementation at the level of the middle managers. The gap found was between the

policy and that implemented.

This chapter’s discussion on the strategizing practice-theory gap makes a significant

contribution to the enhancement of professional practice in the business and

management area of this local government authority. Such a contribution helps fulfil

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one of the aims of the doctoral programme undertaken. The research herein reported

has applied and developed frameworks across different fields that reflect the varied

professional backgrounds of the local government’s management team and a new

framework is developed in this chapter. The research, fulfilled in the action learning

steps of the action research cycle, has contributed to the advancement and

development of professional practice and quality of thinking in the local government

management team. The contribution was reflected in the changed operations

resulting from the action research project and confirmed by subsequent government

audit which recommended the changes should be applied across the LGA (LGA

2006).

A summary of the key contributions to knowledge follows in Table 22.

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Table 22: Key Contributions to Knowledge

Strategizing Theory-Practice Gap Key Findings Addressed by Extant Literature

A. External strategizing and internal organizing pluralism

1. External strategizing pluralism and

internal organizing pluralism

Strategy set by numerous external

stakeholders

Findings confirm published literature

(Jarzabkowski and Fenton 2006)

Implementation organized by numerous

internal stakeholders

This study empirically confirms the theory

B. Pluralistic organizing has unintended strategizing implications

2. Structured for Regulation, Command and

Control

Structure, Culture & Purpose of Organization

was Regulation, Command & Control

Findings disconfirm published literature as the

LGA was structured to deliver a single service

typology (Beinhocker 2006; Collins and

Porras 1997; Foster and Kaplan 2001;

Larreche and Srinivasan 1982; March 1991;

Peters and Waterman 2004)

Many services were for care and well-being

and not regulation & control

3. Street Bureaucracy & Politicization of the

Citizen

Strategy Implementation by Staff:

Street Bureaucracy & Citizen Politicization

Empirical findings here in the UK confirm the

published literature on findings in the USA

(Thompson 1982)

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C. Pluralistic strategizing pressures strain organizing capacity – areas for further research

Issues around the research Key Findings Addressed by Extant Literature

4. Paradox of top-down commitment Paradox: top-down agency theory &

Staff Commitment through participation

Findings confirm published literature in that

top-down strategy did not gain the

commitment of the implementers (Deacon and

Mann 1999)

5. Political Aspirations & Pragmatic

Implementation

Politicians’ High-level social themes, Vs. Findings disconfirm published literature on

Localisation (Kathi and Cooper 2005), there

was no evidence of area committees &

representation of neighbourhoods &

communities. As a result, the National

generic targets did not specifically address

marginalised communities (Meek et al. 2007).

Findings disconfirm published literature as the

LGA was organized & structured by function

not client segment (Coaffee and Johnston

2005). Confirms literature on lack of

democratic voice (Le Grand 2007).

Annual budgets & objectives

Continued on next page...

Issues around the research Key Findings Addressed by Extant Literature

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6. Top-down political convenience and the

professional public ethos

Organizational Culture Clash:

Agency Theory Vs. Public Ethos

Findings show that the implementation of a

revised management style (New Public

Management) has been ineffective as the

culture (Public Sector Ethos) has not been

addressed (Pratchett and Wingfield 1994).

D. Protracted tensions between organizing and strategizing – areas for further research

7. The LGA is a complex system but

constrained from adapting

The internal & external pluralism confirm the

organization is a complex system but

Is constrained from adapting

Disconfirms published literature on complex

adaptive systems as constrained by

institutional and structuration theory (Johnson

and Greenwood 2007)

8. Different government activities require

different organizations

Local government was delivering pluralistic

types of services but structured only for

regulation & control services

Empirically confirms literature upon

organizing pluralism (Jarzabkowski and

Fenton 2006)

9. Lack of democratic voice Critical stakeholders without power were

unable to participate in the strategy decision-

making process

Disconfirms the literature upon localisation,

equitability and community voice (Campbell

and Marshall 2000).


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Implications for theory

The literature identified a high priority for research in to agency problems that arise

due to middle management gaining strategic influence without formal authority

(Wooldridge et al. 2008). The research reported in this thesis addressed this

important issue and identified the phenomenon of ‘street-level bureaucrats’ at the

research site (Thompson 1982). The findings reported herein have identified

practice-theory gaps in strategizing within the LGA. The strategy-as-practice turn

has turned the emphasis on researching what people actually do as opposed to what

they theoretically do (Hendry 2000; Whittington 1996), which was one of the

reasons for choosing the six question research method framework. Whilst adding

empirical research to this new practice-turn, the findings of practice-theory gaps

enforce the need for more research focused upon strategists and how they strategize.

The research findings reported herein confirm the importance and requirement of the

practice-turn.

The philosophical objective/subjective dichotomy has proven to be an over

simplification in this case study. The numerous descriptions of this dichotomy in

strategizing have proven to refer not to a world of dualism but a spectrum. There

were plural perspectives along a continuum. So, the answer to strategizing was

found not to be either top-down or bottom-up but both and every other possible way,

including networks. The choice of the best option was dependent upon the context.

This was exhibited by building upon Stacey’s approach of selecting three points

along the continuum (Stacey 1993). This warrants further research in this area. It

may be that whilst many theorists approach the subject of strategizing from their

own philosophical stance, practitioners seek the best solution to their problem

irrespective of philosophical stance. Practitioners pick and mix solutions as best fit

the context of the problem.

Implications for policy and practice

This participatory action research programme traced and aligned the policies and

strategies from the UK government, the Welsh government, the local authority and

down through the service delivery chain to independent departments and individuals.

A subsequent WAG audit of the LGA service area endorsed this procedure by


coining the phrase ‘line-of-sight’ for individuals taking responsibility for the

delivery of specific points of national policy/strategy. This procedure of line-of-

sight was incorporated with an annual review and appraisal system for all employees

whose objectives were ‘line-of-sight’ of the corporate strategy. This resulting

change was applied across the whole of the LGA, in line with the changes made

from the research reported herein (LGA 2006). The research reported herein made a

significant contribution to the enhancement of professional practice at the LGA.

The national discontent with the political system was evidenced in this case study

with citizens excluded from participating in the decision-making processes that

affected their own lives. The failure of the implementation of both the theoretical

concepts of localism and citizen participation and similar political concepts

contained in the Third Way appeared to reflect institutional and structuration

theories. If local government is not satisfying the social requirements of society then

a new bottom-up strategy and structure is required. If the economic recession of the

2010s results in dramatic curtailing of local public services then that may provide a

trigger for a new ‘business’ model for local governance demanded by the citizens.

Limitations

The strength of this research is that it is from the perspective of the middle

management as this unit of analysis is under represented in the literature

(Wooldridge et al. 2008). However, this focus upon middle management could also

be seen as a limitation. A much larger future research programme could look at the

strategizing processes from the perspective of all participants so that the

interpretations and understandings from all of the stakeholders could be compared

and contrasted.

The other key limitation is the fact that this study is of a single case study. However,

institutional and structuration theory guide us to believe that other local authorities

will have similar approaches. Members of the participatory action research team

have subsequently moved to other local authorities in the furtherance of their careers

and have reported back that they have encountered similar findings.

The limitations are acknowledged but they do not detract from the significance of the

findings. The limitations provide platforms for future research. The implications for

further research are discussed below.

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Reflections upon Methodology and Implications

The research method was very difficult when it came to writing-up because,

operationally, it was two separate research programmes – one for the client and one

that is reported herein. The client organization specified a participatory action

research method as they wished both a form of evaluative research to define the

problems, and action research to find possible solutions. The research programme,

herein reported, sought to identify the strategizing processes from the middle

management perspective and so the action research provided the data for this

programme. It was in effect two separate research programmes, one contributing

data to this programme. It became very difficult to keep them separate in the

researcher’s mind during the write-up.

In addition, as the participatory action research approach meant going through

successive inductive – deductive cycles, collecting data on the processes and then

identifying relationships and patterns compared to the literature, it proved impossible

to follow a traditional approach of writing the literature review chapter before

collecting data.

The research herein reported addressed the lack of empirical research identified in

the review of strategy literature (Mellahi and Sminia 2009). The research

specifically addresses the call for theories from sociology (Jarzabkowski and Spee

2009). The research also adds to the empirical findings of the new strategy-as-

practice turn (Jarzabkowski 2005). The literature expressed the importance of future

research developing practice-based links between micro and macro-phenomena. The

research programme undertaken for the purposes of this thesis deliberately identified

links between the micro, individual middle managers, and macro phenomena, senior

management, directors, politicians and government policy documents (Jarzabkowski

and Spee 2009).

In addition, the research herein reported, identified extra-organizational actors who

influenced the community strategy (Community strategy plan) and looked at the

classes of practitioners within the LGA (middle managers and street-level

bureaucrats), (Jarzabkowski and Spee 2009). This is best illustrated by the pyramid

shown in the figure 7: the linkages from government policy to individual objectives,

in the fourth Participative Action Research Cycle.

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The LGA was identified as having an institutionalised strategy practice, as exhibited

by the two policy and procedure maps: schematic of the strategy policy framework

and the LGA policy in to practice framework. In answer to the literature call for

further research, the benefits and limitations of this institutionalised strategy practice

were drawn out from the research reported herein (Jarzabkowski and Spee 2009).

Methodological frontiers were identified from the literature. Methodological

frontiers in the study of strategizing were summarized as interactive discussion

groups, self-reports and practitioner-led research (Balogun et al. 2003). These

authors acknowledged that participatory action research was a possible answer but

offered their breakdown as less time-consuming. The research herein reported did

address interactive discussion groups and practitioner participation. The research

also confirmed the time-consuming nature of participative action research.

Implications for further research

Following the discovery of the practice-theory gaps discussed in this chapter,

supporting findings or differences can be sought from researching other LGAs.

These could be comparisons with other LGAs within Wales and also the other

separate nations that make up the United Kingdom. The opportunity for

international research comparisons are also evident.

The additional findings on pluralistic strategizing pressures strain organizing

capacity, and protracted tensions between organizing and strategizing, discussed in

this chapter can be the focussed subjects of research, operationalised to develop

greater understanding. These additional findings in this chapter were the paradox of

top-down commitment; political aspirations and pragmatic implementation; public

sector ethos; different government activities require different organizations; local

government is a constrained complex adaptive system, and lack of democratic voice.

Each of these additional key issues and patterns surfaced during the participatory

action research process could be the subject of focused research programmes.

The participatory action research teams found evidence to indicate that local (‘old

Labour’) politics led to many gaps in strategy implementation. It is possible that the

implementation of decentralised power and decision-making and The Third Way was

more successful in English local government authorities than those in Wales.

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Researchers could take different methodological approaches to all of the findings

and add to understanding or even establish universal laws. A survey research

approach could be commissioned now to generalise the findings from this case

study.

Since the completion of the research reported herein, there have been political and

policy changes in the UK government, Welsh government, and the Local

Government Authority, as well as changes in management at all levels. It would be

very interesting to repeat this research programme with the current middle managers,

in their current context and identify the changes and any differences in the findings

from the six questions used in the method.

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7. GLOSSARY

Complex Adaptive System

The whole system is more than the sum of its parts, whilst developments of the

whole system result from the interaction of the parts; systems develop non-linearly

and are influenced by various feedback mechanisms; the systems are dominated by

self-organization and co-evolve with other systems (Klijn 2008).

Governance and Government

Government has institutional command and control of the distinctive and separate

roles of the local government, the citizens and private institutions. Governance,

though, is seen to be a facilitating institution. Governance facilitates communities of

citizens and social organizations to produce social goods and services (Meek et al.

2007).

Managerialism

Managerialism was defined (Gramberg and Teicher 2000) as the predominance of

the management role where values of leadership, entrepreneurialism, strategy

development and focus upon outputs “are practiced within a framework of explicit

goals and constraints set by government which form the contractual obligations of

the new public management” (p. 478). The managers were free to develop corporate

plans which identified specific objectives, targets, incentives and constraints in the

pursuit of efficiency and effectiveness (Painter 1998).

Middle Management





1994).

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Organizing


Policy

Politics was deciding what to do and getting it done, policy was the decision about

what to do, and administration was getting it done (Baker 1972).

Practice-theory gap

The practice-theory gap is between theory (espoused theory) and practice (theories in

use). The gap may be disconfirmation between the published literature, as reported

in the literature review chapter of the research herein reported and the research

findings from the participative action research cycles or the absence of literature to

match the findings. The research study focuses upon the gaps between formal

professional knowledge and that of interpretation and enactment, espoused theories

and theories in use. A key focus of the research was to analyse the gaps between

theory and practice and help the professionals to unmask the cover-ups in place

(Kemmis and McTaggart 2000).

Professional

Workers who possessed professional qualifications - they were “professionals”

(Lipsky 1980). The professional training required by many professional bodies

instils a competence of autonomy and independence (Le Grand 2007).

Stakeholders

Those groups and individuals who can affect, or are affected by the achievement of

an organization's purpose (Freeman 1984, p. 246).

Strategizing

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Strategizing is concerned with the myriad, micro activities that make up strategy and

strategizing in practice (Johnson et al. 2003). Most strategy has been about ‘know

what’ but strategizing research is about ‘know how, when and where’ (Garud 1997;

Nicholls-Nixon 1997). The strategizing agenda also considers whose know-how

(when and where) we should try to collect and understand (Balogun et al. 2003),

they state:

“We need to understand not just how senior management plans and actions are created, but also how these plans are consumed and influenced by those lower down in the organizations, and translated into the day-to-day practices that create strategy and change.” (p. 199).

The definition used throughout this research study is:


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8. APPENDICES

Appendix One: Study protocol

Appendix Two: Analysis of government policy documents

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Appendix One: Study Protocol

Collaborative Field Research Purpose: Introduction for the benefit of

participants

The Welsh National Assembly approved the strategy document entitled "Winning

Wales". However, the strategic objectives must be cascaded down the organisations

that form part of the implementation. So, typically this will include central

government departments, agencies, local governments and front-line service

organisations. How is strategic intent cascaded during the implementation process?

This research will look at how one local government authority has implemented its

strategic intent. This study will identify how the national strategic objectives have

been interpreted and the influence this has upon implementation. It will trace the

implementation of strategic objectives from the national strategy documents to the

strategy implemented at the front-line customer service point.

The research's contribution to knowledge associated with strategic intent derives

from its focus upon the interpretation of cascaded strategic objectives by the

recipients and how the objectives are achieved by them, and to what extent.

RQ: How does government cascade strategy from a middle management

perspective in a local government authority?

Procedures

Initial scheduling of field visit

Access to interviewees will be gained via the Operations Manager who is the

designated contact within the local government authority. A room will be provided

by the local government authority to afford privacy for the interview process. Any

assistance or guidance will be agreed as necessary between the researcher and the

Operations Manager. The schedule for data collection will be agreed by these two

individuals and take into account the workload and location of the interviewees.

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Determination of persons to be interviewed

Management and staff from the libraries service function and the leisure function

will be selected from different locations and at middle management levels in the

organisation.

Informed consent by interviewees & participants

Informed consent will be obtained from all interviewees and participants before data

is collected from them. The following topics will be covered with the participants

before starting data collection.

1. Purpose: This study has three separate phases: 1) understanding how we got

to where we are today; 2) identify a frame work for setting outcome goals,

and 3) evaluate their success.

2. Who is conducting the study? This research is being conducted by Martin

Whitehill from Glamorgan University Business School. This research is an

independent project.

3. What is required? Martin will collect information relevant to one of the

research phases. Besides providing verbal information, copies of any

relevant documents would be ideal 'academic rigour'.

4. Participation. Each participant volunteers to participate and may withdraw

at any time.

5. Confidentiality? All information will be kept confidential. No specific

comments during this interview will be attributed to the interviewee. They

will be anonymous.

6. Recording? The researcher wants to record the interview because they can

not write down word-for-word that which is said fast enough or accurately

enough. Academic rigour maintains that the researcher must accurately

capture the interviewee’s responses and not the researcher’s interpretation of

what they think the interviewee said or meant. The recordings will remain

confidential and will only be heard by the research transcriber.

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7. Does the participant have any questions?

8. May we continue with the interview?

Below is an example set of questions used during the interviews of each senior

manager. This list also illustrates the search for independent collaborative evidence

from other data sources for each answer.

Questions for Level One

1 How were the City’s strategic objectives for the new service area in the year

2000 communicated?

2. What strategic objectives were established in the year 2000?

3. How were the strategic objectives set?

4. How was subsequent performance measured?

5. How was feedback given to staff upon their performance towards achieving

the strategic objectives?

6. How were staff motivated at the time?

7. How were the challenges set inspirational or aspirational?

8. How were staff encouraged or rewarded for innovative new solutions?

9. How easy was it to change strategic objectives to flex with events?

10. Who were the new service area stakeholders in 2000?

11. How were each of the new service area stakeholders viewed or treated in

2000?

To support answers received to each of the above questions, also seek alternative,

collaborative sources of data such as:

Newsletters

Emails

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Memoranda

Presentation materials

Training programmes

Stories or events

Chief Officer of the new service area

Chief Officer's immediate superior

The new service area’s Operations Managers

Local government authority publications

Sample Strategies:

Establish chain of evidence

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Appendix Two: Analysis of government policy documents

Table 23: National Policies

Document Key themes Performance Measures

Wales: A Better

country

Overarching strategic agenda of the Welsh Assembly Government. Key policy drivers

for LLL: Education and Learning: Provision of Individual Learning Accounts; reform

14-19 learning agenda; schools as community resources; integrated early years

centres; eliminate the basic skills gap; pilot free skills training for adults up to NVQ

level 3

Culture and Sport: Develop library services and provide modern community services

which support lifelong learning and are accessible to everyone; free access to local

authority swimming pools for children in school holidays and older people.

Communities: Tough action on anti-social behaviour to improve quality of life -

£100m crime fighting fund to reduce fear of crime and address drug related crime;

roll-out communities first

Health and Social Care: Expand the health inequalities fund.

Key themes from Wales: A Better Country are developed further in the thematic

No specific measures


strategies below.

Plan for Wales,

October 2001,

WAG

The Learning

Country,

September 2001,

WAG

A Paving Document for Lifelong Learning to 2010. Key outcomes are identified – key

drivers for LLL: Reducing the number of boys underachieving at school by

comparison to girls

Every child to receive the benefit of a full prospectus of out of school activities

combining volunteering, entrepreneurship, cultural, sporting and outdoor activities by

2010

Reduction in number of 16-18 year olds without qualifications

Reduction in number of 19 year olds without NVQ level 2

Reduction in the number of adults of working age without qualifications

Reduction in the number of adults of working age with NVQ level 2 or equivalent

(also targets for NVQ Levels 3-4)

Reduction in proportion of adults of working age with functional basic literacy skills

Baseline 1996; 60%

reduction by 2010

1in25 (2007); 1in50

(2010)

1in2 (2007) and

sustain

1in 9 (2007) 1 in 10

(2010)

8 in 10 (2007) and

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Reduction in proportion of adults of working age with functional basic numeracy skills

Increase number of parents and children on family literacy and numeracy

programmes

Employer Participation: IIP accreditationIncrease participation in post 16 education and training

Number of individual learning accounts

Increasing providers with grade 1 and 2 Estyn inspections.

Number of working age adults in training on Modern Apprenticeships or Modern Skills

Diploma for Adults at NVQ level 3 +

sustain

Above 9 in 10 from

2004

8 in 10 (2007) 9 in 10 (2010)

Learning Country:

Learning

Pathways 14-19

year olds, October

2002, WAG

(Consultation

Document)

The Learning agenda for 14-19 year olds in Wales. Series of programmes and

proposals to achieve 1 key aim: 95% of young people (25 yrs) are ready for high skill

employment or qualified for higher education (i.e level 2 or level 3 qualification). 80%

at 19.

The strategy defines ‘essential skills for young people: Hard skills – application of

numbers, communication, ICT, Soft Skills – working with others, problem solving,

95% of young people (25 yrs) are ready for high skill employment or qualified for higher education (i.e level 2 or level 3 qualification). 80% at 19.

Page 200


improving one’s own learning together with wider skills in Future Skills Wales

(understanding customer needs, willingness to learn, initiative, team working). There

is a recognition that the soft skills and future skills need to be experienced, practiced

and developed within and outside schools and colleges. The Prospectus of Out of

Schools Hours Activities developed by the YPP should address these skills. Other key

themes – work experience, enterprise, breaking down the divide between academic

and voctional, work based learning, personal and social education, involvement in

voluntary and community activities; participation and involvement; learning coaches;

progress files; supporting parents in supporting their children. Implementation via 14-

19 Networks to include CCET, Young People’s partnership and local authority.

Reaching Higher,

March 2002

Widening access to and increasing participation in Higher Education

Children and

Young People: A

framework for

Partnership,

November 2000

(WAG)

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Children and

Young People:

Rights to Action,

January 2004

(WAG)

WAG has adopted the UN convention on the Rights of the Child as the basis of all its

work for children and young people in Wales. The strategy identifies Seven Core

Aims around the themes of A Flying Start in Life (Before Birth, Twf – bilingualism,

SureStart 0-3 yrs – focus on health, social services and early education (Cymorth

areas only), Parenting, Early years education, developing language and literacy

skills); A comprehensive range of Education, Training and Learning (including from

the Learning Country – Foundation phase; Narrowing the Gap; Class sizes in primary

schools, 14-19, Welsh Baccalaureate, Iaith Pawb); the Best possible Health, Free

from Abuse, Victimisation and Exploitation; Play, Leisure, Sporting and Cultural

Activities; Treated with respect and have their race and cultural identity recognised; a

safe home and community; Poverty.

Specific initiatives of relevance to LLL: A flying start: Ante-natal health promotion for

mothers; Bookstart to develop language and literacy skills: Education, Training and

Learning – 14-19 (as above); information and advice – Canllaw online; Community –

focused schools (see below); Promoting exercise – links to Climbing Higher the

Sports and Active Recreation Strategy; nutrition – linked to Food and Well-Being

strategy; physical development of children equal to the development of literacy and

numeracy skills of C&YP – link to Climbing Higher; free swimming initiative; NOF

Young People’s Fund c £13m; adventure play facilities including outdoor play

Statistics collected

and set out in A

statistical Focus on

Children in Wales.

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equipment, skateboard and bike parks and youth shelters; WAG funding for Kids

Clubs; prevention of youth offending – Splash Cymru school holiday activities; safe

routes to schools; Cymorth – Children and Youth Support fund – 6 themes: family

support such as teaching parenting skills; health improvement; play and leisure

including playgroups and holiday and mobile play schemes; empowering participation

and active citizenship; training, personal support and information eg drop-in youth

information services or support for young people not attending eduction/training;

developing childcare provision (funding targeted at disadvantaged communities, focus

on partnerships, user involvement, adding value to mainstream services, early

preventative intervention; delivery from integrated centres and networks, inclusion

and evidence-based practice.

Linked to each aim are key outcomes; indicators and means of verification.

Extending

Entitlement

Strategy for young people

Health and Well

Being for Children

and Young People

Action Plan

Number of initiatives including extending the Network of Healthy schools scheme,

smoking prevention, PE and school sport development centres; water coolers in

Community First schools; Free breakfasts for all primary school children.

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National Service

Framework for

Children

Sets out standards to improve the quality of services that children and young people

receive from the National Health Service and social services. Areas covered: Acute

and chronic illness or injury; improving health and well-being for all; Disabled C&YP;

Maternity; C&YP with special circumstances; mental health and psychological well-

being; medecines.

Children First Programme aimed to deliver better outcomes for children and young people in

greatest need, making sure in particular that looked after children, care leavers and

disabled children are able to benfit fully from education, health and social care and

are safeguarded.

Play Policy,

October 2002,

WAG

Childcare Action

plan, 2002, WAG

Wales Youth

Offending Strategy

– Draft

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A Winning Wales,

WAG

10 year economic development strategy with accompanying plans for skills,

innovation, entrepreneurship, Business and the environment. Key policy drivers for

LLL:

Reduction in the number of adults of working age without qualifications (as Learning

Country)

Increase proportion of adults of working age with NVQ level 4 or equivalent (as

Learning Country)

As Learning Country

Future Skills

Wales, March

1999

Climbing Higher,

WAG - DRAFT

Draft Sport and Active Recreation in Wales strategy. Develops a vision for sport and

active recreation in Wales by 2023. 19 key aims identified. Key policy drivers for LLL:

increasing participation levels; reducing the participation gap amongs

underrepresented groups particularly BME communities.

70% of adults up to the

age of 65 and 50% over

65 will participate in at

least moderate-intensity

physical activity for 30

minutes, five times a

week

Interim milestone 45%

of adults up to 65 by

Page 205


2012.

All children of primary

school age and 90% of

secondary school

children will participate

in at least moderate-

intensity physical

activity for 60 minutes

five times a week

40% of all adults and

80% of children will be

members of sports

clubs or centres.

By 2011, the

participation rate for

BME will be in line with

the national average

Page 206


A Walking and

Cycling Strategy

for Wales, WAG

Iaith Pawb Welsh Language Strategy

Creative Future Culture strategy for 2010. Key policy drivers: Sport and Recreation chapter: Links to

Health and Active Lifestyles plan; upgrading facilities; participation of young people in

sport (these are developed further in Climbing Higher). Diversity chapter: Address

imbalance between participation levels in sport between boys and girls; participation

for people with disabilities

No long term targets

Cymru ArLein

Page 207


The Strategy for

Older People,

January 2003

Based on consultation undertaken through ‘When I’m 64 and more ..’, May 2002.

Strategic objectives identifies under the themes of valuing older people; chanign

society; Living Longer and Healthier Lives; Coping with Increasing Dependence –

Housing, Social Care and Health. 21 point action plan documented within the

strategy. Policy drivers for LLL: Participation and involvement of older people in

communities and policy making; access to information and services; promoting

learning opportunities; network of community learning centres; IT facilities; health

promotion; programmes to promote intergenerational links;

Well-Being in

Wales, September

2002 (WAG)

Primary Care

Strategy, WAG

Pharmacy

Strategy, WAG

N/A N/A

Strategy on

Optometry, WAG

N/A N/A

Page 208


Food and Well-

Being - Nutrition

Strategy, February

2003, WAG

Strategy and Action Plan to tackle the problems of dietary inadequacies in the Welsh

population but particularly in disadvantaged groups.

Arthritis Strategy,

WAG

Standards for treatment and rehabilitation

Everybody’s

Business, WAG

10 year strategy for mental health.

Welsh Substance

Misue Strategy,

May 2000, WAG

Includes priorities relating to children and young people. Substance misuse circular

17/02 issued in June 2002 to youth services as best practice guide on developing

policies and programmes for substance misuse education. Responsibility for

substance misuse transferred to Community Safety partnerships in April 2003. Local

strategy and action plan being developed.

Better Homes for

People in Wales –

A National

Housing Strategy,

WAG

Vision for housing in Wales – strategy and action plan, cascaded through Local

Housing Strategy guidance.

N/a

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National

Homelessness

Strategy

Aims to improve joint working between housing and social services in local authorities

who must keep in touch with and support care leavers.

Carers Strategy,

WAG

ELWA Corporate

Strategy

ELWa’s vision for learning to 2010 and beyond. Targets reflect the Learning Country.

Key elements of the Strategy – Essential skills including the ‘new essential skills’ as

defined by the European Commission – IT; foreign language; technological culture;

entrepreneurship and social skills; creating lifelong learners; applying knowledge;

skills for business; learning communities.

Key targets reflect the

Learning Country.


Page 210


Table 24: Local Government Authority Documents

Community

Strategy

The Community Strategy is a partnership plan between the Council and key

stakeholders. Together with the Building for the Future paper below it forms the

Strategic Policy core for the Council.

The Local Government Act 2000 gave a duty to local authorities to work in partnership

to promote the economic, social and environmental well being of their areas. In the

LGA this is being delivered through its Community Strategy Partnership that consists

of over two hundred local public, private and voluntary sector organisations who

together have agreed priorities to ensure that Cardiff continues to succeed as the

driver of Welsh prosperity and sustain local communities which are healthy, safe and

prosperous.

The Community Strategy has now been produced as a result of extensive

consultation with stakeholders. The Strategy seeks to provide a wide ranging long-

term vision for the LGA and complements other strategies and plans, of which the

Economic Development Plan is key. The Plan provides the economic component of

the Community Strategy and sets out the actions for the Council that will contribute to

improving the economic well being of the community.

Relevant objectives

and measures in LLL

Business Plan

Page 211


White Paper –

Building for our

Future

The White Paper is a City Government (ie Cabinet) strategy. It replaces the previous

Ambitions for The City strategies and prior to that the Lord Mayor’s Address.

In September 2003, the City Government launched a Green Paper entitled

“Maintaining the Momentum – Revisiting Cardiff’s Agenda for 2020”. Maintaining the

Momentum sought to act as a spark for debate by asking the views of local people,

businesses and organisations on key challenges facing the City. The result of the

Green Paper has been the publication of a White Paper ‘Building For Our Future’

which outlines the Council’s strategic policy framework and aspirations.

In 1993 the former South Glamorgan County Council launched its “2020 Vision” which

mapped out an ambitious thirty-year agenda to transform Cardiff into a superlative

European capital city. ‘Building for our Future’ is the first step to developing an

updated 2020 Vision for Cardiff, building on the foundations that have been laid over

the last decade. It outlines a challenging and innovative programme to continue the

development of Cardiff as one of the best places to live, work and visit in Europe and

the World.

Relevant objectives

and measures in LLL

Business Plan

Page 212


Corporate

Business Plan

(Policy Action

Plan)

The Annual Corporate Business Plan is developed from the core strategic policy

documents above. It identifies key improvements for the year and brings together key

Action (the Policy Action Plan) that need to be implemented during the year from the

strategic documents above.

Service Area

Business Plan

The Leisure and Lifelong Learning Business plan identifies the key objectives and

actions for the service for the year. The objectives and actions relate to the key

strategic themes of the Community Strategy and Building for our Future as defined in

the Corporate Business Plan (Policy Action Plan)

Documented in the

Business plan and

appendices.


Page 213

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