Academic Articles for Improving Upward Communications & Participation:

Larkin, T. J., & Larkin, S. (1996). “Reaching and Changing Frontline Employees.” Harvard Business Review, May-June, pp. 95-104. http://search.epnet.com/direct.asp?an=482995&db=buh

It is argued that senior managers - and most communication consultants - have refused to hear what frontline workers have been trying to tell them: When you need to communicate a major change, stop communicating values, communicate face-to-face, and spend most of your time, money and effort on frontline supervisors. Despite research showing that frontline employees prefer to receive information from their supervisor - the person to whom they are closest - companies continue to depend on charismatic executives to inspire the troops. This does not work because frontline supervisors are the real opinion leaders in any company. Communication between frontline supervisors and employees counts the most toward changed behavior where it matters the most - at the front line.

Maier, N. R. F. (1967). "Assets and Liabilities in Group Problem Solving: The Need for an Integrative Function." Psychological Review, v74. pp. 239-249.

Van de Ven, A., & Delbecq, A. L. (1971). "Nominal versus Interacting Group Processes for Committee Decision-Making Effectiveness." Academy of Management Journal, v14, 203-212. http://search.epnet.com/direct.asp?an=4297147&db=buh

This article reviews literature dealing with the relative effectiveness of interacting (spontaneous group discussion) versus nominal (individual silent effort in a group setting) group processes for problem-solving committees. The authors conclude that the optimal combination of group processes for a problem-solving committee is: (1) the use of nominal group processes for fact-finding, idea generation, or initial subjective probability estimation in the first phase of a committee’s work; (2) the use of structured feedback and interacting discussion in the second phase; and (3) nominal group voting for final individual judgments in the final phase.

Yukl, G., Falbe, C. M., & Youn, J. Y. (1993). "Patterns of Influence Behavior for Managers (914KB)." Group and Organization Management, v18, n1, pp. 5-28.

Research was conducted to learn more about how managers use different tactics to influence subordinates, peers, and superiors. The study involved analysis of incidents describing influence attempts from the perspective of an agent or a target. Influence behavior in the incidents was coded into 9 influence tactics. A conceptual framework was presented to explain the selection and sequencing of tactics, and the model was used to derive specific hypotheses for individual tactics. Analysis of tactic combinations revealed that some tactics were used together much more often than others. Consistent with the model, some tactics were used more in initial influence attempts, and other tactics were used more in follow-up influence attempts. Differences in the use of tactics were also consistent with the model, and the results verified directional differences found in earlier research with questionnaires.

Applied Articles for Improving Upward Communications & Participation:

Anonymous. (July 1992). "All Ears: How Developing Better Listening Habits Can Make a Difference in the Way You Communicate." Agency Sales Magazine, v22n7, pp. 42-45.

Strategies to develop better listening habits. Includes four ways to show you’re not listening and an effective listening self-assessment quiz. The most important principle of effective listening is to become more actively engaged in the process. This can be achieved by concentrating on the speaker and what is being communicated. Among the best and easiest ways to improve concentration is to maintain strong eye contact with the speaker. Another useful technique is to focus on the speaker's lips. Other suggestions for effective listening include: 1. setting an appropriate listening objective, 2. becoming aware of situations in which one's emotional responses may be distorting one's interpretation of what is being said, 3. being sensitive to nonverbal cues, and 4. providing appropriate feedback. In trying to become an effective listener, it is important to remember that listening is an active process. Listening well requires determination, concentration, discipline, and practice.

Harvey, Jerry B. (Summer 1988). "The Abilene Paradox: The Management of Agreement." Organizational Dynamics. Vol. 17, No. 1; pg. 16, 28 pgs. http://search.epnet.com/direct.asp?an=4636759&db=buh

The Abilene Paradox occurs when members of an organization take an action contrary to what they really want to do and, as a result, defeat the very purposes they are trying to achieve. Organizations caught in the web of the Abilene Paradox lack the ability to manage agreement. This can be expressed by 6 specific sub-symptoms: 1. Individuals agree as to the nature of the problem or situation. 2. There is individual agreement as to the steps that should be taken. 3. Organization members fail to communicate their desires and beliefs to one another. 4. Inaccurate and invalid information is then used to make decisions. 5. Everyone is angry, irritated, and frustrated with the results. 6. The cycle repeats itself. The cycle may be broken if communication is managed by establishing debates, assigning fact checkers and devil's advocates, and encouraging organizational graffiti. Managing the organization context can enhance power and reduce risk. The creation of the right kind of climate is also essential.

Janis, I. L. (1971). "Groupthink: The Desperate Drive for Consensus at Any Cost." Psychology Today.

The term “Groupthink” is used to refer to the mode of thinking that persons engage in when concurrence seeking becomes so dominant in a cohesive in-group that it tends to override realistic appraisal of alternative courses of action. The symptoms of groupthink arise when the members of decision-making groups become motivated to avoid being too harsh in their judgments of their leaders’ or their colleagues’ ideas. They adopt a soft line of criticism, even in their own thinking. At their meetings, all the members are amiable and seek complete concurrence on every important issue, with no bickering or conflict to spoil the cozy, “we-feeling” atmosphere. This article discusses the symptoms and results of groupthink and how to avoid it in decision-making groups.

Lefton, Robert E. (January 1988). "The Eight Barriers to Teamwork." Personnel Journal, v67n1, pp. 18, 20-21.

Eight communication barriers to accessibility: breakdown in probing, promotional leadership, intra-team conflict, insufficient alternatives, lack of candor, pointless meetings, lack of self-critique, and failure to cycle downward; some strategies to address communication barriers.

Lewis, J. (July 1985). "Are We Communicating?" Supervision, v47n7, p. 3-4.

Explores barriers to supervisor-employee communication that occur due to the supervisor’s position and greater commitment to the organization. Discusses several strategies to break down these barriers: awareness, listening and one-to-one communication, and allowing employees to share in decision making; also explores the value of trust in supervisor-employee communication.

Rogers, C. R., & Farson, R. E. (2001). "Active Listening," in The Organizational Behavior Reader (7th ed.), J. S. Osland, D. A. Kolb, & I. M. Rubin (Eds.).   Upper Saddle River, NJ: Prentice Hall (pp. 185-195).

A classic article on active listening. It covers how to actively listen, problems in active listening, and how active listening can help in reaching organizational goals.

Schmall, E. (May 10, 1993). "Actions Speak Louder Than Open Door Policies (238KB)." Network World, v10n19, pp. 33-34.

Presents some negative behaviors that hinder staff’s accessibility to their manager. Most managers are content to issue a statement declaring that they are in favor of open and honest communication within the organization. However, they take unconscious actions to shut communication down. Techniques managers use to stifle open communication include: 1.registering only the comments that support their opinions, 2. using the staff's comments to punish them, and 3. routinely arguing away advice.

Scott, D., & Deadrick, D. (June 1982). "The Nominal Group Technique: Applications for Training Needs Assessment." Training and Development Journal, pp. 26-33. http://search.epnet.com/direct.asp?an=9126899&db=buh

This group process will help improve training needs analysis by actively involving employees in analysis and goal setting.

Vroom, V. H. (Spring 1993). "Two Decades of Research on Participation: Beyond Buzzwords and Management Fads." Yale Management, pp. 22-32.

Victor Vroom, management professor and consultant, has devoted many years to answering the question: “When is participation useful?”  He and his colleagues developed a contingency theory called the leadership-participation model that is presented and explained in this article. The model assumes that different decision situations require different types of leadership.  As with so many contingency theories, the profile of an effective leader or manager is one who is capable of analyzing the context and choosing from various styles the one that is most appropriate.

Books for Improving Upward Communications:

Berne, Eric, M.D. 1996. Games People Play : The Psychology of Human Relationships (Reissued edition). Ballantine Books. HM291.B394D 1991

Dr. Eric Berne, as the originator of transactional analysis, has attained recognition for developing one of the most innovative approaches to modern psychotherapy. Discover how many of these "secret games" you play everyday of your life: Iwfy (If it weren't for you); Sweetheart; Threadbare; Harried; Alcoholic, and many more. A groundbreaking book that bores deep into the heart of all our relationships, GAMES PEOPLE PLAY is a classic that should be read again and again.

Delberg, A. L., Van De Ven, A. H., Gustafson, D. H. 1975. Group Techniques for Program Planning : A Guide to Nominal Group and Delphi Processes. Glenview, Illinois: Scott, Foresman and Company (150 pages).

Chapter 3 provides guidelines on how to conduct a brainstorming session using the nominal group technique.

Leading Teams outlines what leaders can do to structure, support, and guide teams in a way that
· enhances the social processes essential to collective work;
· builds shared commitment, skills, and task-appropriate coordination strategies;
· helps members troubleshoot problems and spot emerging opportunities; and · captures experiences and translates them into shared knowledge.
Out of these conditions, Hackman argues, the very best teams emerge-teams that exceed client expectations, grow in capability over time, and contribute to the learning and personal fulfillment of individual members.

Harris, Thomas A. 1996. I'm Ok-You're Ok (Reissue edition). Avon (317pages).

One of the most extraordinary self-help bestsellers of all time--with over 15 million copies in print--featuring Transactional Analysis. Harris has helped millions find the freedom to change, liberate their adult effectiveness, and achieve joyful intimacy with others. "A way to self-understanding and change."--Los Angeles Times 

Janis, I. L. (1972). Victims of Groupthink. Houghton Mifflin Company.

Chapter 9 on preventing groupthink is particular useful in conducting meetings.

HM131
.J613
1987

From Book News, Inc.
New edition of a text first published in 1975. Covers group dynamics, experiential learning, group goals and social interdependence, communication, leadership, decision making, controversy and creativity, conflicts of interest, power, diversity, team development, and leading growth and counseling groups.

One of the first steps to take toward increasing team effectiveness is to pay attention to how the team is formed. You can head off most of the problems that beset teams during the formation stage by setting a clear direction, building organizational support, creating an empowering team design, identifying key relationships, and monitoring external factors. When a team is formed with the five high-performance principles described in this guidebook, it has a head start on achieving success.

Manz, C. C., Neck, C. P., Mancuso, J., Manz, K. P. (1997). For Team Members Only : Making Your Workplace Team Productive and Hassle-Free. New York: American Management Association (176 pages).

In the mad scramble to reorganize the workplace into teams, the manager's new role has been assiduously examined. Actual team members, however, have been asked to master a new set of skills and ways of working--with no guidance. This guide supplies step-by-step guidelines and interactive exercises for boosting the skills they need.

Merrill, D. W. (1981). Personal Styles and Effective Performance. Radnor, PA: Chilton Book Co.

Presents and discusses the concept of social style, the four social styles (Analytical, Driving, Amiable, Expressive) and the dimensions of social styles: assertiveness, responsiveness and versatility. Chapters 4 and 5 discuss versatility, provides a self-test of your versatility and how to improve to enable flexibility to work with the styles of others.

When it was published in 1994, Roger Schwarz's The Skilled Facilitator earned widespread critical acclaim and became a landmark in the field. The book is a classic work for consultants, facilitators, managers, leaders, trainers, and coaches--anyone whose role is to guide groups toward realizing their creative and problem-solving potential. This thoroughly revised edition provides the essential materials for facilitators and includes simple but effective ground rules for group interaction. Filled with illustrative examples, the book contains proven techniques for starting meetings on the right foot and ending them positively and decisively. This important resource also offers practical methods for handling emotions when they arise in a group and offers a diagnostic approach for identifying and solving problems that can undermine the group process.