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Factors that facilitate or hinder staff performance during management turnover

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Factors that facilitate or hinder staff performance during management turnover

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Content Running head: PERFORMANCE DURING MANAGEMENT TURNOVER 1

FACTORS THAT FACILITATE OR HINDER STAFF PERFORMANCE
DURING MANAGEMENT TURNOVER
By

Kim Green

A Dissertation Proposal Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION

December 2017

Copyright 2017 Kimberly Green

PERFORMANCE DURING MANAGEMENT TURNOVER 2

Dedication
TO MY SON, my baby boy, Kai Tsanonda Edwards…I dedicate this dissertation and
ultimate degree to you first. Every word on these pages was typed for you. You watched
mommy drudge through class and homework, often neglecting your wants and desires. You
were patience, you were supportive, you gave me space when I needed it, even if you really
wanted my full and undivided attention. You understood, even at such a tender age, how
important it was for mommy to do this for us. I love you Noodle! Thank you for being my
number one supporter.
TO MY FAMILY, my mother Iris Green, father Ronnie Marshall, sister Kendra and
brother Rohn, and to the father of my son, Tsanonda…THANK YOU for all of those
countless nights when you took Noodle off of my hands so I could write or research or sleep.
Thank you for the constant words of encouragement. Thank you for being there when I
crossed that stage. Thank you for allowing me to believe that this was even possible. I love
you all!
TO MY LOC SISTERS, you ladies have no idea how much I love each of you. You
are family to me. You guys listened to me cry and complain and celebrate and crumble in
defeat many mornings and many nights. You kept reminding me to keep going. You kept
pushing me. I am a reflection of you. Ladies by choice, sisters by chance. THANK YOU!
TO MY FUTURE SELF, you did it! You conquered what you once thought was
impossible. Through illness, pain, medicines, fatigue, stress, job changes, and overall
exhaustion, you finished! You’ve proven to yourself that the world is yours. You’ve shown
how amazing you really are and that no illness or environmental influence will stop you from
reaching your dreams. You’re a DOCTOR now!
PERFORMANCE DURING MANAGEMENT TURNOVER 3

Acknowledgements
There were MANY contributors to my success, and I pray I don’t forget anyone. If I
do, please charge it to my head and not my heart. To start, I would like to thank my
dissertation chair, Dr. Melora Sundt. Man oh man, there’s NO WAY I could have done this
without you. You were so patient and flexible and accommodating, even getting sick from
me just to be by my side. I truly love you! THANK YOU SO MUCH for never giving up on
me. To my committee members, Dr. Monique Datta and Dr. Helena Seli, I could not have
asked for a better committee. Your patience and guidance allowed me to do what I thought
was the impossible…DEFEND! Thank you both!!
To my OCL Cohort 1 classmates, YOU. GUYS. ROCK! I never thought I’d grow so
close to complete strangers the way I have with you. This journey has been incredible and I
wouldn’t have wanted to do it with anyone other group but you guys. Thank you for your
support, late night calls, emails, adobe sessions, and Facebook posts. You kept me going and
I appreciate you all.
To my USC professors, thank you for being bold and fearless. Thank you for taking
on the charge of this program with grace and tenacity and an unwavering sense of
compassion for us as the inaugural cohort. I appreciate each of you.
Finally, to my coworkers, it takes an incredible kind of person to have dealt with me
throughout this journey and you guys have been the best at it. I appreciate the flexibility you
provided me, the space you gave me when I needed it, and the push I required when I didn’t
think I had anything left. Christian, you are AMAZING. You stayed with me every step of
the way. You were at every immersion, you talked to me through my toughest times, were
flexible with me when I just needed to step away and grind. You never gave up on me. You
PERFORMANCE DURING MANAGEMENT TURNOVER 4

never allowed me to give up on myself. We fell in love with Los Angeles TOGETHER! I
could not have done this without you. I couldn't have done this without any of you. THANK
YOU!
Because of all of you, I can proudly call myself a TROJAN! FIGHT ON!!!

PERFORMANCE DURING MANAGEMENT TURNOVER 5

List of Tables
Table 1. Organizational mission, global goal and stakeholder goals 17
Table 2. Table of Assumed Influences and Related Literature 29
Table 3. Assumed Influencers Table 34
Table 4. Results of Knowledge Survey 50
Table 5. Results of Motivation Survey 56
Table 6. Results of Organization Survey 59
Table 7. Validated Influencers Table 71
Table 8. Summary of Knowledge Influences and Recommendations 74
Table 9. Summary of Organization Influences and Recommendations 75
Table 10. Outcomes, Metrics, and Methods for External and Internal Outcomes 79
Table 11. Critical Behaviors, Metrics, Methods, and Timing for Evaluation 80
Table 12. Required Drivers to Support Critical Behaviors 81
Table 13. Components of Learning for the Program 83
Table 14. Components to Measure Reactions to the Program 84
PERFORMANCE DURING MANAGEMENT TURNOVER 6

List of Figures
Figure 1. Conceptual Framework of Clarke and Estes’ Gap Analysis Model 33
Figure 2. How long have you been with this organization? Frequency of ranking
number of years employed with Org. X. n=19
48
Figure 3. How many managers (direct reports) have you reported to during your
tenure in this department? Frequency of respondents based on how
many managers they have reported to during their tenure in
Department A. n=19
48
Figure 4 t-test for Survey Questions 5 and 6 58
Figure 5. How many managers (direct reports) have you reported to during your
tenure in this department? Frequency of respondents based on how
many managers they have reported to during their tenure in
Department A. n=19
64
Figure 6. I believe the feedback that I provide regarding the changes that occur
during transition are taken into consideration by management
64
Figure 7. Figure 7. t-test for Survey Questions 9 and 10 65
PERFORMANCE DURING MANAGEMENT TURNOVER 7

Table of Contents
List of Tables………………………………………………………………………………… 5
List of Figures……………………………………………………………………………….. 6
Abstract……………………………………………………………………………………… 10
Chapter One: Introduction………………………………………………………………........ 11
Introduction and Problem of Practice……………………………………………………. 11
Organizational Context and Mission…………………………………………………….. 13
Organizational Goal……………………………………………………………………… 13
Related Literature………………………………………………………………………... 14
Importance of Evaluation………………………………………………………………... 15
Description of Stakeholder Group………………………………………………………. 15
Stakeholder Groups’ Performance Goals………………………………………………... 16
Stakeholder Group for the Study………………………………………………………… 17
Purpose of Project and Questions……………………………………………………….. 17
Methodological Framework……………………………………………………………... 18
Organization of the Project………………………………………………………………. 18
Chapter Two: Review of the Literature……………………………………………………… 20
Clark and Estes’ Gap Analysis Conceptual Framework………………………………… 20
Learning and Motivation Theory……………………………………………………. 20
Stakeholder Knowledge, Motivation and Organizational Influences……………………. 21
Knowledge and Skills………………………...……………………………………… 21
Knowledge Types………………………………………………………………... 21
Motivation…………………………………………………………………………… 24
Self-Efficacy………….…………………………………………………………. 24
Team Efficacy…………...……………………………………………………….. 25
Organizational Influences……………………………………………………………. 25
Cultural Models…………………………………………………………………. 26
Cultural Settings………………………………………………………………… 27
Conclusion……………………………………………………………………………….. 28
Chapter Three: Methodology………………………………………………………………... 31
Purpose of the Project and Questions……………………………………………………. 31
Conceptual and Methodological Approach……………………………………………… 32
Assessment of Performance Influences………………………………………………….. 34
Participating Stakeholders and Sampling………………………………………………... 37
Methodology…………………………………………………………………………....... 38
Survey………………………………………………………………………………... 38
Instrumentation…………………………………………………………………... 38
Data Collection…………………………………………………………………... 39
Interviews……………………………………………………………………………. 39
Instrumentation…………………………………………………………………... 39
Data Collection…………………………………………………………………... 39
PERFORMANCE DURING MANAGEMENT TURNOVER 8

Document Analysis…………………………………………………………………. 40
Data Collection…………………………………………………………………... 40
Data Analysis Plan……………………………………………………………………….. 40
Trustworthiness of Data………………………………………………………………….. 41
Validity and Reliability………………………………………………………………….. 43
Role of the Investigator………………………………………………………………….. 43
Ethics…………………………………………………………………………………….. 44
Chapter Four: Results and Findings…………………………………………………………. 46
Definition of Validation………………………………………………………………….. 46
Known Demographics of Respondents………………………………………………….. 47
Results and Findings for Knowledge Causes……………………………………………. 49
Employees know their supervisor’s expectations for their performance……………. 50
Employees know how they are performing relative to supervisor’s expectations..…. 51
Employees understand the nature of their daily tasks and how these relate to
achieving the organizational goal…………………………………………………….
52
Employees know how the changes will affect them………………………………... 54
Results and Findings for Motivation Causes…..………………………………………… 56
Employees have confidence in their ability to meet the goal in order to conduct their
jobs effectively………………………………………………………………….
56
Employees have confidence in their team’s and leader’s ability to meet the goal…... 57
Results and Findings for Organizational Causes…………………………………………. 58
Employees have a specific transition plan when managers are being removed and
new managers are being employed…………………………………………………..
59
Employees are provided regular feedback on their performance, particularly during
moments of managerial transition……………………………………………………
62
Employees are able to provide feedback about the change process to management
and believe that this feedback is being considered…………………………………...
63
Employees work in an environment that has procedures to clearly and regularly
communicate updates about the transition……………………………………………
66
Employees need to work in a climate of trust during the time of transition…………. 67
Employees work in a climate that encourages a sense of flexibility and openness to
change………………………………………………………………………………...
69
Summary…………………………………………………………………………………. 72
Chapter Five: Recommendations……………………………………………………………. 73
Recommendations for Practice to Address KMO Influences……………………………. 73
Knowledge Recommendations………………………………………………………. 73
Knowledge solutions, or description of needs or assets…………………………. 74
Motivation Recommendations……………………………………………………….. 74
Organization Recommendations….…………………………………………………. 74
Cultural Models………………………………………………………………….. 76
Cultural Settings…………………………………………………………………. 76
Integrated Implementation and Evaluation Plan…………………………………………. 77
Implementation and Evaluation Framework ………………………………………… 77
Organizational Purpose, Need and Expectations…………………………………….. 78
Level 4: Results and Leading Indicators……………………………………………... 78
Level 3: Behavior…………………………………………………………………….. 79
PERFORMANCE DURING MANAGEMENT TURNOVER 9

Critical behaviors………………………………………………………………… 79
Required drivers…………………………………………………………………. 80
Monitoring………………………………………………………………………. 81
Level 2: Learning…………………………………………………………………….. 82
Learning goals……………………………………………………………………. 82
Program…………………………………………………………………………... 82
Components of learning………………………………………………………….. 83
Level 1: Reaction……………………………………………………………………. 84
Evaluation Tools……………………………………………………………………… 84
Immediately following the program implementation…………………………….. 84
Delayed for a period after the program implementation…………………………. 85
Data Analysis and Reporting…………………………………………………………. 85
Limitations and Delimitations for Future Research………………………………………. 85
Recommendations for Future Research…………..……………………………………… 86
Conclusion………………………………………………………………………………… 86
References…………………………………….……………………………………………… 88
Appendix A: Survey Items……….………………………………………………………….. 94
Appendix B: Draft Recruitment Script..…….……………………………………………….. 96
Appendix C: Interview Questions…………………………………………………………….. 97

PERFORMANCE DURING MANAGEMENT TURNOVER 10

Abstract
This dissertation study examined the factors that facilitate or hinder employee performance
during management transition. Using the Clark and Estes’ Gap Analysis framework, the
knowledge, motivation and organizational influences defined by the literature in chapter two
were examined. The methodology employed in this study included a survey and interviews
administered to a purposeful sample of anonymous employees at Org X (a pseudonym for the
organization). Gaps were either validated, partially validated or not at all validated. It was
found that employees do need to understand how changes will affect them. It was also found
that a specific transition plan would make acquiring a new manager an easier transition. Trust
and feedback were also important concepts in the findings and proved essential to employee
performance. The results from the data collected were used to drive recommendations for the
organization that would support future preparations of employees for management transition.
It was recommended that the organization re-evaluate current communication and feedback
protocol to ensure gaps in communication are mitigated, particularly during transition. It was
also recommended that the organization consider establishing a formal transition plan that
will be used during transition where appropriate. Lastly, it was recommended that the
organization reassess its approach to motivation improvement to help foster trust and
openness within the organization, making transition a less anxious experience for employees.

PERFORMANCE DURING MANAGEMENT TURNOVER 11

CHAPTER ONE: INTRODUCTION
Introduction and Problem of Practice
Change has become a part of normal business practice in organizations (Applebaum,
St-Pierre & Glavas, 1998; Bridges, 2009; Gurianova, Gurianov & Mechtcheriakova, 2014).
As organizations evolve through its different phases of the organizational lifecycle, the needs
and behaviors of the organization also evolve, and require change initiatives to keep up with
these needs and behaviors (Adizes, 1979; Applebaum et al., 1998; Manderscheild &
Ardichvili, 2008). These constant changes in the competitive market require that
organizations reposition leaders and members of their organization into new roles
(Manderscheild & Ardichvili, 2008). Manderscheild & Ardichvili (2008) note that an
estimated half million managers are repositioned each year just in Fortune 500 companies.
However, Miller and Buxton (2012) have identified one of the largest factors that can
adversely affect performance in an organization is frequent turnover.
SABA, a cloud based talent management solution organization, asserted that 70% of
an organization’s total budget is dedicated to its workforce (“Managing an Organization’s
Largest Cost,” 2014). Turnover of any kind for an organization is rather common but can get
very expensive (Waters, 2003). Research has estimated that the percentage of costs relative
to salary to replace employees ranges from as low as 25% to upwards of 250% per employee
(Hester, 2003; Waters, 2003). These expenses are not specific to just the salary offered to
new employees. Waters (2003) outlined additional, often hidden, expenses associated with
turnover, which could include time spent covering a vacant position or assisting with
temporary staff during transitions. The cost of acquisition should also be included, that is the
cost to advertise the role, conduct background checks and the time spent to interview
PERFORMANCE DURING MANAGEMENT TURNOVER 12

candidates (Moore, 2017). Moore (2017) asserts that other hidden fees, which are not as
quantifiable should also be considered. One cost would be the disruption in the client
relationship, others include the cost to training new hires, which creates a disruption in the
day-to-day functions of the business (Moore, 2017). One of the largest costs to organizations
is the loss of productivity. Loss of productivity, according to Waters, can account for up to
80% of all turnover expenses (2003). Excess turnover creates a stressful environment for
remaining employees who are expected to keep up with productivity amidst transitions,
which lowers morale on the team or in the organization (Waters, 2003).
The focus of this study was to identify and validate the factors that facilitate or hinder
staff performance during a transition in managerial leadership. The organizational
performance problem that was examined in this paper was the loss of productivity that may
ensue during a leadership transition. This situation was a problem for two specific reasons.
First, while there is a significant amount of research that links CEO turnover to employee
engagement, satisfaction, and performance (Eitzen & Yetman, 1972; Grusky, 1960; Grusky,
1963), there is not much research that examines the relationship between frequent changes of
non-senior level managers on the performance of their teams (Boyne & Dahya, 2002; Burke
& McKeen, 1994; Miller & Buxton, 2012). There is also very little research that examines
transitions and how to prepare teams for them (Manderscheild & Ardichvili, 2008). Second,
as organizations continue to grow and expand throughout the organizational life cycle,
management shifts will be a constant in the organization (Manderscheild & Ardichvili,
2008), making it important to understand how frequent changes can affect work performance
(Adizes, 1979).

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Organizational Context and Mission
The organization that was to studied, for purposes of anonymity, was referred to as
Org X. Org X is an education based, publicly traded, software-as-a-service (SaaS) provider
located in the United States. Org X, which launched within the past ten years, provides
technology-enabled support services to colleges and universities across the country that
allows them to deliver some of their degree programs online to students living either
domestically or internationally. The services include, but are not limited to, attracting and
advising student through the admissions process; providing technical, classroom and faculty
support; providing accessibility to all students regardless of physical proximity or ability, and
facilitating field placements. By providing these services, students are able to pursue Masters
and Doctoral degrees online without the hassle of relocation. Org X currently partners with
over 20 college and university programs in the United States, and is currently exploring a few
university partners abroad. With the belief that education is ever changing, Org X is
committed to providing the best technology support to some of the world’s best online degree
programs.
Organizational Goal
Org X was founded by a group of innovators who were focused on providing high
quality online degree programs, awarded from top-tiered institutions (organization’s website,
URL not provided to protect anonymity of organization). To do this, Org X partnered with
universities across the country who were interested in providing programming that would be
equal to, or better, than the on campus experience. Since its inception, Org X has partnered
with several universities to offer online degree programs in education, data science,
engineering, business, nursing and many more. In a recent progress report, Org X reported to
PERFORMANCE DURING MANAGEMENT TURNOVER 14

have supported over 20,000 students in 50 states, the District of Columbia and over 75
countries (organization’s website, URL not provided to protect anonymity of organization).
Over 80% of students enrolled in programs supported by Org X are either still enrolled or
have graduated. Eighteen percent of students who have attended programs supported by Org
X have reported salary increases, while 11% have reported getting a new job or receiving a
promotion as a result of the education received by programs that Org X support. Data have
begun to show the intention of Org X, which is to support some of the world’s best online
degree programs and change the lives of students globally.
In order for Org X to fulfill its mission of expanding to offer the pre-eminent degree
programs globally, they need to retain existing partners while acquiring new partner
relationships. As mentioned earlier, Moore (2003) asserted that one of the most critical costs
to employee turnover is the disruption it creates for the customer or client. It will be of great
importance for Org X to understand how transition affects their overall goal of building and
maintaining partnerships that will allow them to make their organizational goal of technically
supporting the world’s best online degree programs on a global scale.
Related Literature
The literature related to this problem of practice was limited to the CEO and
employees. The catalyst for research on the topic of managerial transition and its effects on
performance stem from a research study conducted in 1960 by Grusky. Grusky’s article
(1960) examined the relationship between managerial succession and how this “disruptive
process” affects key stakeholder groups in an organization. A later article, published by
Grusky in 1963, examined the effectiveness of an organization after managerial succession
(Grusky, 1963). In this article, Grusky looked at the correlation between the rates of
PERFORMANCE DURING MANAGEMENT TURNOVER 15

transition of coaches on 16 professional baseball teams and the effects of transition on the
teams’ performance. He found a negative correlation between transition and effectiveness
(Grusky, 1960, 1963). Later research emerged that suggested that there is a direct
relationship between managerial succession and performance. Some studies found the
relationship to be positive, while others found the relationship to be negative or indifferent
(Eitzen & Yetman, 1972; Grusky, 1963; Hill, 2005 & 2009).
While there was substantial research about how CEO turnover or succession may
affect organizational performance, there was not much research that speaks specifically to
non-senior level managers and direct reports (Boyne & Dahya, 2002). Boyne and Dahya
found that there is a direct influence on performance and recognized two emerging, yet
contradictory theories across the literature: management turnover produces improvements
and turnover is disruptive rather than adaptive.
Importance of Evaluation
It was important to evaluate the organization’s performance in relationship to the
performance goal for a variety of reasons. As the organization continues to progress through
the organizational lifecycle, according to the literature, it is expected that organizations
during this phase of the lifecycle will experience continuous growth which includes scaling
and expansion (Adizes, 1979; Bridges, 2009). With this expansion, comes the potential for
managers to promote within the organization, to move laterally to support new teams, or to
decide to transition out of the organization.
Description of Stakeholder Groups
Within Org X, there are many departments with layers of functions that support the
overall organizational goal. Starting at the top of the organization chart, there is an executive
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leadership team guided by the influence and leadership of a board of trusted professionals in
the field of education, technology and for-profit management, among others. These
individuals oversee the global operations of the organization and make decisions that drive
the organization’s mission and vision. There are many functional teams that support the
organization’s infrastructure, including technology, marketing, finance, content development
and analytics. The largest functional area is a team of representatives that directly support
their university partners. There are several key functional groups in this dynamic. A large
part of this team support the recruitment and field placement efforts. Another large part
supports the retention management of participants in the external stakeholder group, which
are the university partners. Included in this functional area is Department A. Department A is
a much smaller subset of this larger functional group. Their specific role as a department is to
process incoming documentation that is required by the external stakeholders.
Stakeholder Groups’ Performance Goals
The stakeholder’s goal for Department A, driven and supported by the team’s
Director, was to process 100% of intake documents with 100% accuracy. Processing of these
documents include calculating GPAs, requesting missing or incomplete academic records,
attaching letters of recommendation and purpose statements, and gathering all other file data
required by partner universities to send to external stakeholders for review.

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Table 1
Organizational mission, global goal and stakeholder goals
Organizational Mission
To provide high quality online degree programs, awarded from top-tiered institutions with
a reach to students globally. (paraphrased to maintain anonymity)
Organizational Global Goal
To expand operations to university partners nationally and internationally by providing
high quality technology and support, while maintaining existing relationships
Stakeholder Performance Goal
To process 100% of intake documents with 100% accuracy and maintain performance
during management transitions

Stakeholder Group for the Study
The stakeholder group chosen for this study was one of the service departments
which, for the purposes of this study, was named Department A. While it takes a joint effort
by all parts of the organization to achieve its overall organizational goal, it was important to
evaluate the performance of the Department A, as they play a very critical role in the
organization. This department was comprised of roughly 40 Org X employees. The
department’s overall responsibility was to process intake documents from one group of
external stakeholders who seek academic affiliation to one or more of the organization’s
partner programs.
Purpose of Project and Questions
The purpose of this project was to evaluate the degree to which Department A has the
knowledge, motivation and organizational skills to meet its goal of processing 100% of
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intake documents for consortium members with 100% accuracy. The analysis applied Clark
and Estes’ (2008) gap analysis as the framework for identifying and validating the
knowledge, motivation and organizational influences related to achieving the organizational
goals. The questions that guided this study were as follows:
1. To what extent is Department A meeting its goal of processing 100% of
documents received with 100% accuracy?
2. What are the knowledge, motivation and organizational influencers that affect
employees’ performance during mid-level managerial transition?
3. What are the recommended knowledge, motivational and organizational solutions
to those barriers?
Methodological Framework
This project employed a mixed methods data collection and analysis. The framework
for data gathering is Clarke and Estes’ Gap Analysis model (2008). This model examined the
knowledge, motivational and organizational influences that promote or hinder performance
during management transitions within this organization. It highlighted what performance
gaps exist (if any) within Department A. Org X’s Department A staff’s performance in
relationship to the organizational goal was assessed using a survey, in-person interviews,
literature review and content analysis. Research-based solutions were recommended and
evaluated in a comprehensive manner.
Organization of the Project
This dissertation in practice was composed of five chapters. Chapter one introduced
the problem of practice and provided background information on the stakeholders, the
stakeholder goals and the stakeholder group that was at the center of the investigation.
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Chapter two was a review of the literature surrounding the topic of employee performance
and management transition. This literature was presented by the knowledge, motivation and
organization influencers established using the gap analysis model. Chapter three reviewed the
methodology by which the data was collected from the stakeholder group of study. Chapter
four was a data analysis of the survey and interview data collected from the aforementioned
stakeholder group. Chapter five concluded this dissertation with recommendations for the
organization on ways to better prepared employees for management transition.
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CHAPTER TWO: REVIEW OF THE LITERATURE
This literature review examined the factors that facilitate or hinder staff performance
during a leadership turnover. This review presented an in-depth discussion of evidence of
effects of managerial turnover on employee performance, engagement, and motivation using
the Clark and Estes’ (2008) gap analysis conceptual framework as the theoretical model.
Using this framework, this review analyzed the knowledge, motivation and organizational
influences that contribute to sustaining high employee performance during a management
turnover, and its effects on their performance. The chapter concluded with a summary of the
knowledge, motivational and organizational influences that were assessed as part of this
study.
Clark and Estes’ (2008) Gap Analysis Conceptual Framework
This study used the Clark and Estes’ (2008) gap analysis model as its theoretical framework.
The gap analysis model is a systematic, theoretical model that specifics organizational goals
and the gaps in performance. Using this framework, the researcher was able to identify and
validate potential causes of the gap in organizational performance, and then propose targeted
solutions. This study analyzed the assumed knowledge, motivation and organizational
influences that affect Department A’s ability to meet their stakeholder goal as described in
chapter one, during a managerial turnover through the lens of the gap analysis model.
Learning and Motivation Theory
According to Clark and Estes (2008), diagnosing performance gaps start with first
understanding the three main causes of these gaps. These causes include the stakeholder
group’s knowledge and skills, their motivation to actually achieve their performance goal,
and the organizational barriers that may exist that prevent them from achieving said goal.
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According to Clark and Estes, identifying these three causes allows organizational leaders to
assess gaps and facilitate the most appropriate performance improvement plan. “Knowledge
and skills” refers to specific knowledge types, while motivation and organizational barriers
refer to specific theories relevant to types of motivational and organizational factors.
Stakeholder Knowledge, Motivation and Organizational Influences
Knowledge and Skills
The success of an organization meeting set goals relies heavily on how the
stakeholders in the organization support the staff at understanding their roles and
expectations, how well the staff understand their tasks and if the staff has the skills to
complete those tasks. In this section, literature related to learning and motivation was
discussed. Specifically, the knowledge-related influences that could affect the achievement of
the stakeholder goal were examined.
Knowledge types. Krathwohl’s (2002) revision of the original Bloom taxonomy,
identified two separate dimensions: knowledge and cognitive process; and four knowledge
types: factual, conceptual, procedural and metacognitive. According to Krathwohl, factual
knowledge is knowledge based on facts, alone. Conceptual knowledge focuses on the
relationship between various concepts and how they integrate with one another. Procedural
knowledge focuses on the specific technique, that is, how to do something. Lastly,
metacognitive knowledge focuses on one’s awareness about one’s cognitive ability (2002).
This section of the paper explored how the influences associated specifically with factual,
conceptual and procedural knowledge types can affect the stakeholder’s ability to meet the
stakeholder goal during periods of manager transition.
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Employees know what is expected of them. Research suggests that employees need
to know their supervisor’s expectations for their performance (Appelbaum et al., 1998;
Buckingham & Coffman, 2014; Burke & McKeen, 1994; Dibella, 2007; Kluger & DeNisi,
1996; Manderscheild & Ardichvili, 2008). Research has found that unrealistic or unmet
expectations lead to a higher rate of job turnover or employee dissatisfaction (McNatt &
Judge, 2008). Managers should work with employees to set specific and “mutually
agreeable” performance goals (Appelbaum et al., 1998). Goal setting includes the
communication of strategic plans by breaking them into action items that employees are held
accountable for completing (Appelbaum et al., 1998). The establishment of norms and
expectations has to occur before an individual or team feels comfortable in their roles (Burke
& McKeen, 1994).
Employees know how they are performing relative to performance expectations.
According to Chadwick (1991), employees need feedback. Employees want to know how
they are performing relative to their expectations (Chadwick, 1991; Kluger & DeNisi, 1998).
Paswan, Pelton and True (2005) go so far as to deem feedback as “crucial for frontline
employees,” while also recognizing that feedback should be provided at various levels
depending on the employee. Kluger and DeNisi (1996, 1998) suggest that it is important that
employees not only receive feedback that is timely and specific, but that the relevant
feedback is tied to a specific set of goals. Feedback should also be given frequently, as this is
desired by employees (Chadwick, 1991).
Employees know how their daily tasks relate to organizational goal. An employee’s
ability to relate their daily tasks to the organizational goal starts by having employee buy-in
to change, which starts with first ensuring employees have an understanding of the vision and
PERFORMANCE DURING MANAGEMENT TURNOVER 23

mission of the organization to begin with (Appelbaem et al., 1998; Reyes & Kleiner, 1990).
Appelbaum et al. (1998) note that one of the biggest challenges management has with regard
to invoking change of any kind, and management transition in this particular case, is having
these changes supported by the individual contributors. Once the individual contributors are
bought in and understand the organization’s goals, then managers and employees sit together
and establish smaller goals that are mutually agreed upon (Appelbaum et al., 1998). Having
the employee contribute to the goal setting process brings about a “company-wide
commitment to the vision” (Reyes & Kleiner, 1990).
Employees understand what change is expected and how it will affect them.
Employees need to have an understanding of how the proposed transitions will affect them
(Allen, Jimmieson, Bordia & Irmer, 2007; Appelbaum et al., 1998; Babalola, Stouten, &
Euwema, 2014; Burke & McKeen, 1994; Nadler, 1981). It may require management to
provide some historical context as to why the change in management is necessary
(Appelbaum et al., 1998; Burnes, 2003). Dibella (2007) discusses the “what’s in it for me”
mentality that drives performance and acceptance of changes or transitions. Nadler (1981)
addresses the notion of “political activity” and examines how transitions create a shift in
power that leaves employees in a state of ambiguity. This uncertainty can affect one’s ability
to perform in an organization and ultimately their turnover rate (Babalola et al., 2014).
Employees understand the transition plan. Employees need a clear understanding of
the transition plan. Bridges (2009) states this plan needs to include a step-by-step depiction
of how this transition will take place, including what is expected of the employees during this
period of transition.

PERFORMANCE DURING MANAGEMENT TURNOVER 24

Motivation
Motivation differs from knowledge in that it is more focused on the individuals’
perception of ability and willingness to complete a task versus whether or not they know,
have learned, or understand a task. There are many motivation-related theories. For the
purposes of this paper, Albert Bandura (1977) and Frank Pajares’ Self-Efficacy Theory
(2006) was chosen.
Self-efficacy. The first motivational theory that was relevant to the stakeholder group
is Pajares’ review of Albert Bandura’s self-efficacy theory (1977). According to Pajares
(2006), self-efficacy is one’s confidence in one’s ability to learn and complete their daily
tasks with certain levels of expertise. Bandura (1977) noted that self –efficacy is defined by
one’s self-perceptions and beliefs that are shaped, in part, by external experiences and by the
behaviors they have seen in others.
Employees are confident in their ability to perform well during the transition.
Babalola, Stouten and Euwema (2014) noted how the uncertainty of change can have direct
effect on an employee’s self-esteem and their belief in completing their job or a given task.
Transition creates another layer of uncertainty in that new managers can impose new
expectations on employees who may not feel comfortable with the skills required to meet
those expectations. This feeling of inadequacy affects the employee’s confidence in doing
their job (McNatt & Judge, 2008). Bandura (2014) asserts that individuals with higher self-
efficacy can regulate their thinking, thus allowing them to control their feelings and
behaviors. Therefore, employees with higher self-efficacy are better at coping with the
challenges of their job and the challenges that may come with organizational change or
transition (Lu, Du & Xu, 2016; McNatt & Judge, 2008). These challenges, instead, are
PERFORMANCE DURING MANAGEMENT TURNOVER 25

perceived as opportunities and not threats (Lu et al., 2016).
Team-efficacy. Borgogni, Russo and Latham (2011) note that how employees
perceive their teams’ ability to be effective determines how confident and committed they are
to the goals of the team.
Employees are confident in their team’s and leader’s ability to succeed. Studies
have also shown that team efficacy is affected by the group’s leader (Borgogni, Russo &
Latham, 2011). Leaders that are transitioning into new roles need to consider the perceptions
of team efficacy among the newly acquired team. It is also important to recognize that how
efficacious an individual is directly relates to how they intend to contribute to the group’s
effectiveness (Borgogni et al., 2011). Additionally, there is a linear correlation between a
team’s efficacy and the individual contributions made to the work, the goals and the
interactions of the team (Park, Kim & Gully (2017). However, this correlation must be
balanced since efficacy that is too high or too low can impact performance (Park, Kim &
Gully (2017). There is also a component of trust that affects a team’s efficacy. Employees
need to believe their team, including their manager, are all working toward the same goal
(Burke & McKeen, 1994).
Organizational Influences
In Clark and Estes’ (2008) Gap Analysis model, the third component in examining
influences that affect performance was organizational barriers. Barriers can range from
culture or attitudes to a lack of processes or strategic planning. These barriers can be
evaluated at the individual or team levels. The organizational influences examined related to
Schein’s (2004) definition of culture and fall into two distinct categories: cultural models and
cultural settings.
PERFORMANCE DURING MANAGEMENT TURNOVER 26

Organizations are defined by their cultures. Schnieder, Brief and Guzzo (1996)
looked at organizations’ climate and culture to better define the terms. Climate is controlled
by the organization’s members and affects its processes, routines and, ultimately, its
behaviors (Schnieder, Brief & Guzzo, 1996). Culture refers to the beliefs its members have
about the organization (Schnieder, Brief & Guzzo, 1996). Bolman and Deal (2013) discuss
how culture is both a product and a process, in that it exists in the realm of past knowledge
and experiences but is constantly evolving with the newer individuals in the organization.
Cultural models. Cultural models consist of the values and beliefs that are generally
passed along but unseen, such as the culture of competition or lack of trust on a given team.
Cultural models typically rely on a handing down of beliefs, and an insufficient shared
history of experience in an organization can affect how the models evolve over time and can
create conflict in organizations (Schein, 2004).
Employees trust managers, team members and the organization. The topic of trust
appears in several contexts in the literature. Bridges (2009) asserts if employees trust their
leaders/organizations, they are more apt to change, even if they are anxious or frightened by
it. Trust is associated with autonomy, communication, expectations and leadership capacity
(Burke & McKeen, 1994). New managers are encouraged to establish a positive culture by
establishing mutual feelings of trust among individuals in a given work group (Burke &
McKeen, 1994). Trust can be developed a multitude of ways. Leaders can encourage an open
flow of information between themselves and their employees (Burke & McKeen, 1994;
Manderscheid & Ardichvili, 2008). Management is encouraged to keep their promises, do
not overpromise or simply renege on promises made (Bridges, 2009). Management should
also listen carefully to their employees and take an interest in understanding what matters to
PERFORMANCE DURING MANAGEMENT TURNOVER 27

them (Bridges, 2009). Being transparent and asking for feedback from your team members
also facilitates a trustworthy environment (Bridges, 2009, Paswan et al., 2005). Lastly,
Bridges (2009) attests to the importance of simply telling the truth.
Employees work in an environment that promotes openness and flexibility to
change. Acceptance of changes do not happen overnight. Bridges (2009) discussed how
periods of change, such as with management transition, can create moments of anger,
anxiety, sadness or disorientation, particularly if employees do not have a true understanding
of why the change is happening and how it will affect them. Bridges (2009) encourages
managers to respect the happenings of the past and the feelings of anxiety that employees
experiencing transition may be facing.
Cultural settings. Cultural settings are the visible indicators of the aforementioned
models, such as lack of processes, feedback, or autonomy. Even smaller but more meaningful
dynamics such as physical barriers (ie. closed office doors) create challenges for
organizational performance (Schein, 2004). Schein refers to these concepts as the artifacts, or
things that are visible forms of behaviors to the members of the organization.
There is a process to provide employees with a specific transition plan in the event
of incoming and outgoing managers. Bridges (2009) asserts that, when preparing for a
transition, management needs to clearly articulate the purpose for the change. Therefore, he
suggests the creation of a transition management plan. This plan outlines the expectations of
the employees on a personal, rather than collective, level (Bridges, 2009). This transition
management plan will outline the expectations of the employees relative to the transition and
provides steps on how the employees will be supported through the transition (Bridges,
2009).
PERFORMANCE DURING MANAGEMENT TURNOVER 28

Employees are encouraged to provide feedback about the transition. It is important
for employees who are going to be affected by transitioning managers to be able to provide
some level of feedback about the transition. Nadler (1981) noted that during periods of
transitions, strong managers tend to have multiple ways to illicit feedback from employees.
However, during periods of transition, these avenues tend to break down due to the
turbulence of the changes and the fear of receiving unpleasant feedback (Nadler, 1981).
Employees as stakeholders should be given the opportunity to contribute to the plans for
changes (Ionescu, Merută and Dragomiroiu, 2014). “Everyone must be given the feeling that
they matter and what they do is important (Reyes & Kleiner, 1990). There should be a clear
communication strategy that allows for information to flow from the affected stakeholders (in
this case, the employees) to the management team, and vice se versa (Ionescu, Merută and
Dragomiroiu, 2014). Bridges (2009) notes the transition plans (which he recommended in the
above influencer) will outline when and how employees can provide their feedback about the
transition.
Conclusion
Clark and Estes’ Gap Analysis model as a framework provided a great deal of
structure when evaluating the knowledge, motivational and organizational influences that
affect organizational performance. Understanding this model provided insight into the
influencers that the stakeholder being studied can evaluate to measure performance in Org
X’s organization. Looking at the stakeholder goals against the influencers that adversely
affect these goals can promote true and sustainable organizational change.

PERFORMANCE DURING MANAGEMENT TURNOVER 29

Table 2

Table of Assumed Influences and Related Literature
Assumed Influences Research Literature
Knowledge (Factual)
Employees know the supervisor’s expectations for
their performance

Knowledge (Factual)
Employees receive feedback about their
performance

Knowledge (Conceptual)
Employees understand the nature of their daily
tasks as it relates to achieving the organizational
goal, despite having frequent managerial turnover

Employees know how changes in supervision or
reporting structures will affect them.

Kluger and DeNisi (1996); Buckingham and
Coffman (2014); Appelbaum, St-Pierre, &
Glavas, (1998); Burke, & McKeen, (1994);
Dibella, (2007)

Chadwick (1991); Kluger and DeNisi (1996,
1998); Paswan, Pelton & True (2005)

Appelbaum, St-Pierre, & Glavas, (1998);
Babalola, Stouten, & Euwema, (2014); Reyes &
Kleiner (1990)

Appelbaum, St-Pierre, & Glavas, (1998);
Babalola, Stouten, & Euwema, (2014); Burke, &
McKeen, (1994); Nadler, (1981)
Knowledge (Procedural)
Employees know the transition plan, including the
reporting structure.

Appelbaum, St-Pierre, & Glavas, (1998);
Burnes, (2003); Dibella, (2007)
Motivation (Self-efficacy)
Employees have confidence in their ability to meet
the goal in order to conduct their jobs effectively

Motivation (team efficacy)
Employees have confidence in their team’s and
leader’s ability to meet the goal

Babalola, Stouten, & Euwema, (2014); Bandura
(1977); McNatt, & Judge, (2008); Parajes,
(2006)

Bandura (1977); Borgogni, Dello Russo, &
Latham, (2011); Parajes, (2006)

Organizational Barriers (cultural settings)
Employees receive a specific transition plan when
managers are being removed and new managers
are being employed

Employees are provided regular feedback on their
performance, particularly during moments of
managerial transition

Employees are able to provide feedback about the
change process to management and believe that
this feedback is being considered

Appelbaum, St-Pierre, & Glavas, (1998); Bridge,
(2009); Burnes, (2003)

Appelbaum, St-Pierre, & Glavas, (1998)

Appelbaum, St-Pierre, & Glavas, (1998); Bridge,
(2009); Ionescu, Meruta & Dragonmiroiu,
(2014)
PERFORMANCE DURING MANAGEMENT TURNOVER 30

Organizational Barriers (cultural models)
Employees work in a climate of trust during the
time of transition

Employees work in a climate that encourages a
sense of flexibility and openness to change

Bridges, (2009), Paswan, Pelton & True (2005)

Bridges, (2009)

PERFORMANCE DURING MANAGEMENT TURNOVER 31

CHAPTER THREE: METHODOLOGY
Purpose of the Project and Questions
The purpose of this project was to evaluate the knowledge, motivation and
organizational influences that facilitate or hinder employee performance and the achievement
of the organization and stakeholder goals during manager transition. The analysis focused on
knowledge, motivation and organizational elements related to achieving the organizational
goals. While there was no documented performance gap, there was a sense that productivity
of the remaining team may have been influenced by the frequency with which managers
transitioned out of their current roles, and the processes (or lack of processes) that occurred
during this transition period.
The stakeholder of focus for this study was identified as the non-executive
management staff of Department A. In this organization, Department A is responsible for the
receipt and processing of multiple documents for consortium members. Their goal is to
ensure that 100% of intake documents that can be completed will be completed with 100%
accuracy. These personnel are the gatekeepers for compliance and local regulatory
requirements. They ensure that all documentation requirements are met before passing the
documents along to consortium organizations for review. This department had experienced
significant management turnover, for a variety of reasons, thus making them a perfect
stakeholder group. In the last 3 years, this department had experienced the transition of a
senior staff member into retirement, three directors transitioned out of the organization, a
new Director has been promoted from another sector of the organization, and the department
expanded requiring the need for three additional managers to fill the role. For this reason, this
study used purposeful sampling of this stakeholder group.
PERFORMANCE DURING MANAGEMENT TURNOVER 32

It was important to examine the perceptions related to management turnover of non-
managerial employees and propose solutions that organizations can use to better influence
productivity.
The following questions guided this study:
1. To what extent is Department A meeting its goal of processing 100% of
documents received with 100% accuracy?
2. What are the knowledge, motivation and organizational influencers that affect
employees’ performance during mid-level managerial transition?
3. What are the recommended knowledge, motivational and organizational
solutions to those barriers?
Conceptual and Methodological Approach
This research study used the Clark and Estes’ (2008) gap analysis model as its
theoretical framework. The gap analysis model is a systematic, theoretical framework that is
specific to organizational goals and the gaps in performance. Using this framework, the
researcher was able to identify potential causes and solutions to the gaps in organizational
performance that are examined. This study analyzed the assumed knowledge, motivation and
organizational barriers that affect performance as described in the gap analysis model.
Figure 1 is a visual representation of the conceptual framework employed for this
study. This framework attempted to explain the relationship between the knowledge,
motivation and organizational influences that affect employee performance during periods of
management turnover. In this figure, the circle surrounding the arrows signifies the
organization as the environment that encompasses factors that influence both the knowledge
and motivation components. Each of the smaller arrows represents the organizational
PERFORMANCE DURING MANAGEMENT TURNOVER 33

influences that, in one way or another, contribute to the performance of employees during
management turnover. The two larger arrows that face one another represent the knowledge
and motivational influences respectfully. These arrows are pointing to one another to show
the direct relationship one set of influencers has on the other set. This entire model affects
performance during periods of transition. This study sought to examine to what extent do
these influences affect the performance of team members during periods of management
transition.
This project employed mixed methods data gathering and analysis. Org X’s
Department A staff’s performance in relationship to the organizational goal was assessed
using surveys and interviews, literature review and content analysis. Research-based
solutions were recommended and evaluated in a comprehensive manner.

Figure 1. Conceptual Framework of Clarke and Estes’ Gap Analysis Model

Organization
Period of Transition
Performance
Improved
Neutral
Transiti
on Plan
Motivation
• Confidence in Ability
• Confidence in Team's
Ability
• Goal Orientation
Knowledge
• Understanding Expectations
• Feedback
• Understanding Tasks
• Transition Planning
Declined
PERFORMANCE DURING MANAGEMENT TURNOVER 34

Assessment of Performance Influences
During the review of the literature in Chapter Two, there were a number of
influencers that could facilitate or hinder employee performance. Among the knowledge
influencers found, three of them were declarative, two were conceptual, and one was
procedural. Motivation-specific influencers centered mostly on self and team efficacy.
Among the organizational influencers, three were cultural and three were climate related. All
of these influencers (see Table 3) were assessed using surveys, in-person interviews or a
combination of the two instruments. The specifics about sampling, instrumentation and data
collection appear in the sections following the table.
Table 3

Assumed Influencers Table
Knowledge Assessment
Factual: Employees know their supervisor’s
expectations for their performance

Survey: Ask employees to rank their
level of understanding of their
supervisor’s expectations for their
performance.

Interviews: Ask employees to describe
their understanding of their supervisor’s
expectations for their performance.

Factual: Employees know how they are
performing relative to supervisor’s
expectations

Survey: Ask employees to rank how
frequently they receive feedback about
their performance

Interview: Ask employees to do they
believe the amount of feedback that they
receive is sufficient? Do they need
feedback more or less often than they
currently receive it?

Conceptual: Employees understand the nature
of their daily tasks and how these relate to
achieving the organizational goal
Interview: Ask employees to explain
their understanding of the organizational
goal and how their work supports it.

PERFORMANCE DURING MANAGEMENT TURNOVER 35

Conceptual: Employees know how the
changes will affect them.

Interview: Ask employees what
questions, if any, do you have for
management about the impact of
transition on their job.

Interview: What do you believe is
helpful to know when it comes to getting
a new manager?

Procedural: Employees know the transition
plan, including the reporting structure.

Survey: Ask employee to rank how
satisfied they are with the information
explained (if any) about the transition.

Ask to rank how effective the
communication about transition has
been.

Motivation Assessment
Self-efficacy: Employees have confidence in
their ability to meet the goal in order to
conduct their jobs effectively
Survey: Ask employees to rank how
confident are they in their ability to
complete their daily tasks when
management is in transition

team efficacy: Employees have confidence in
their team’s and leader’s ability to meet the
goal

Survey: Ask employees to rank how
confident they are in their team’s ability
to complete their daily tasks when
management is in transition

Organizational Assessment
Cultural Settings: Employees have a specific
transition plan when managers are being
removed and new managers are being
employed
Survey: Ask employees to what extent,
if at all, would having a transition plan
assist you in maintaining your
performance during this transition
period?

Interview: What do you think is needed
to make your transition to a new
manager a smooth experience for you?
To what extent have you been provided
those things?

Interview: What have your employers
done well when it comes to preparing
you for a new manager transition?
What do you think your employers
could do better when it comes to
PERFORMANCE DURING MANAGEMENT TURNOVER 36

preparing you for a new manager
transition?

Cultural Settings: Employees are provided
regular feedback on their performance,
particularly during moments of managerial
transition
Survey: Ask employees if is
there a formal process in place
for receiving regular feedback
(yes or no, or IDK)

Interview: To what extent do
you believe the amount of
feedback that you receive is
sufficient? Do you need
feedback about the same as,
more or less often than you
currently receive it?

Cultural Settings: Employees are able to
provide feedback about the change process to
management and believe that this feedback is
being considered

Survey: Ask employees to what extent
they are comfortable providing feedback
about the change process to management
(Likert scale); ask employees to what
extent do they believe feedback is taken
into consideration by management?

Interview: Ask employees to what extent
they believe their feedback is taken
seriously by management (ask for an
example)

Cultural Model: Employees work in an
environment that has procedures to clearly and
regularly communicate updates about the
transition

Interview: Ask employees to describe
how updates about transition are
communicated, is it clear and regular?
Ask employees if they believe their
organization clearly and regularly
communicate plans of management
transition to its staff

Cultural Model: Employees need to work in a
climate of trust during the time of transition

Survey: Ask employees to what extent
they trust that their managers are doing
their best to provide clear instructions
and expectations during transition
(ranking)

PERFORMANCE DURING MANAGEMENT TURNOVER 37

Interview: Ask employees how trusting
they are of the leadership team when
there is a period of leadership transition

Cultural Model: Employees work in a climate
that encourages a sense of flexibility and
openness to change

Interview: Ask employees to explain
how comfortable they are with change?
Does the organization make you more or
less comfortable with change? What
about your organization, if anything,
helps you feel this way?

Interview: How do you feel when you
are assigned a new manager?

Participating Stakeholders and Sampling
These potential respondents were staff who have been employed in Department A for
a period of at least six months. This stakeholder group was selected purposefully since they
do not have a senior leadership title. The timeframe of six months was determined to be
sufficient enough to have experienced at least one change in management during their tenure
with the organization. Having met the basic criteria of at least six months of employment in
Department A, all eligible participants were briefed on the purpose and aim of the study.
Once the staff were introduced to the premise of the study, they received an open
invitation to participate in the surveys. The surveys were sent to the entire group of eligible
participants who had been determined by the aforementioned sampling strategy via email.
Their email addresses were collected from the department’s director, who ultimately gave
permission for the study to be conducted. The interviews were extended to the same group of
stakeholders. The sample was roughly 40 front line employees. These employees were from
the same sample selected to participate in the survey. They were briefed on the purpose of
the interviews. They were reminded that, while their participation is also voluntary, their
PERFORMANCE DURING MANAGEMENT TURNOVER 38

input was invaluable to the study and to the organization. They went through the interview
scheduling process outlined in the data collection section.
Methodology
This study employed a mixed methods approach to examine the assumed knowledge,
motivation, and organizational factors that either hinder or facilitate employee performance
during moments of managerial turnover. Using a quantitative survey, participants were
questioned about factors related to the knowledge and motivation needed to remain
productive during periods of transition. The survey was followed by in-depth interviews that
sought to engage the employees to think about what they experienced during managerial
transitions, and what, if anything, affected, positively or negatively, (in their opinion) their
ability to perform. Using a mixed methods approach, according to Creswell (2014), the
researcher used multiple types of data gathering techniques and draw interpretations based
off both sets of data to better understand employees’ perceptions. This understanding was
essential for developing the performance improvement recommendations that were outlined
in chapter five.
Survey
Instrumentation. The survey included ten questions aimed at gaining an
understanding of employees’ perceptions of productivity during manager transition. It
included a few demographic questions followed by questions that will align with the assumed
causes table (see Table C). While the knowledge and motivation factors showed promising
influence on productivity during management turnover, the survey also focused on the
organizational factors that the literature suggested most influence this problem. The questions
were organized in the KMO sequence. A copy of the survey appears in Appendix A.
PERFORMANCE DURING MANAGEMENT TURNOVER 39

Data Collection. Using a purposeful sampling strategy (Merriam & Tisdell, 2009), a
survey was sent to all non-senior level employees in Department A because the most
information can be gained from them. An announcement of the pending survey was made
during a staff meeting to give employees advance notice, and the researcher explained the
purpose of the study and provided an opportunity for potential respondents to ask questions
related to the study or the survey. Once the announcement was made, the survey was
administered through Qualtrics and a link and invitation were emailed to each of the
employees in the sample. Two reminders were sent to the entire sampling pool to urge them
to participate and to remind them that their participation was voluntary, anonymous, and
much appreciated. The respondents were asked to complete the survey within 72 hours. The
survey remained active for two weeks. No incentive for responding to the survey was
provided, as responses were anonymous.
Interviews
Instrumentation. The interviews included questions aimed at further understanding
of employees’ perceptions of productivity during manager transition. These questions
allowed for probing of responses for deeper meaning. The interview protocol included
questions that aligned with the assumed causes table (see Table 3). The questions were
organized in the KMO sequence. Each question had one or two probing questions that the
interviewer was able to use at her discretion to ascertain additional information from the
respondents. A copy of the interview protocol is in Appendix B.
Data collection. Front-line employees selected for interviews (see Sampling, above)
were contacted by email and invited to participate in the interviews by an outside
interviewer. The recruitment text for the email appears in Appendix C. According to
PERFORMANCE DURING MANAGEMENT TURNOVER 40

Creswell (2014), conducting interviews gives the participants an opportunity to answer open
ended questions for the purpose of gaining more in-depth perspective of their personal views.
Because the conditions of the study required that all participants remained completely
anonymous from the researcher and all other stakeholders of this study, an outside
interviewer conducted interviews by telephone using a pre-developed script supplied by the
researcher. All interviews were recorded and the recordings were transcribed and scrubbed
clean of any identifiers prior to being reviewed by the researcher. The interviewer provided
the researcher with transcribed text of the interviews with any identifying information
redacted as not to allow for the ability to identify participants by tone. No incentive for
participating in the interviews was provided.
Document Analysis
Data collection. The initial plan for this method of data collection was to have
documents about metrics that were used to measure performance provided by an individual
in Department A who had access to that data. Those metrics were to assess to what degree
the individuals, small teams and department overall were meeting their daily, monthly,
quarterly goals. Unfortunately, that plan was thwarted as the individual who was to provide
the documents resigned during the middle of the data collection process, and no additional
point of contact could be established in time for this study.
Data Analysis Plan
Once all surveys were completed, frequencies were calculated. The stakeholder group
consisted of roughly 40 employees, with 32 being eligible based on the participation criteria;
however, some of them chose to opt out of the study. Therefore, the target was 20 responses.
Nineteen employees participated in the survey. Once all surveys were collected, the data
PERFORMANCE DURING MANAGEMENT TURNOVER 41

were cleaned and prepared for analysis. Cleaning the data allowed for removal of
inconsistencies in the data source (Rahm & Hong, n.d). Descriptive statistical analysis was
conducted. Based on information collected, a frequency distribution of the collected data was
completed. Most of the data collected were derived from Likert scale items that measured
perceptions versus numerical values. The questions were then assessed for mean and
standard deviation. There was also a t-test conducted on two sets of the questions to show a
relationship between those responses.
Using the interview transcripts, any themes that were discovered were described
(Merriam & Tisdell, 2016; Miles, Huberman & Saldaña, 2014). Once all interviews were
completed, they were professionally transcribed using Trint.com. The responses were sorted
according to the relevant knowledge, motivation and organizational factors they addressed.
The interviews addressed the “questioning” analytic tool described by Corbin and Strauss’
(2008).
Trustworthiness of Data

This research project sought to explore personal views of productivity and the factors
that hinder or facilitate it during management turnover. Since the results of this study could
create new practices that would intercede with individuals’ professional lives, it is hugely
important that the research results gathered and presented were credible and trustworthy
(Merriam & Tisdell, 2009). Credibility, also referred to as internal validity, according to
Merriam and Tisdell (2009) seeks to understand how closely the data that is presented aligns
with reality and how believable the findings are in relation to the reality of the circumstance.
Though reality is not something static or single-dimensional, and is often relative, it was
important for the researcher to maintain a certain level of creditability for the findings
PERFORMANCE DURING MANAGEMENT TURNOVER 42

themselves to be trusted as accurate (Maxwell, 2013; Merriam and Tisdell, 2009). In this
study, the researcher had a unique role in that she was also an employee of the organization
that was studied. The very first step in ensuring a respectable level of credibility was
removing any and all personal bias. Personal bias, according to Miles, Huberman and
Saldaña (2014), includes the researcher’s personal agenda or mission which can skew the
reported data. By removing these biases, the reported data can be found to be credible and
trustworthy.
To start, observations were not conducted on site. As a part of the site’s agreement to
participate in the study, all data collection was to remain confidential. Therefore, the
researcher was not a part of any part of the data collection process that would allow her to
identify any members who participated. By distancing herself from the data collection
process, she was able to ensure there was no personal or elite bias (Miles, Huberman &
Saldaña, 2014). It also addressed what Maxwell (2013) refers to as reactivity. By allowing
another investigator to conduct the interviews, the researcher was able to manage the level of
influence she had on the research setting and the participants in the study (Maxwell, 2013). It
was also important to ensure that the questions crafted in the survey or interview protocols
were not representative of the researcher’s personal bias and did not lead respondents
towards a particular response. To ensure that participants remain honest in their responses,
there were multiple reminders that their participation in the study is voluntary, and that they
were encouraged to be candid during the survey and interview portions of the data collection
process.
A method of triangulation was employed by using multiple data sources (Merriam &
Tisdell, 2009). By using more than one method of data collection (in this case, a survey and
PERFORMANCE DURING MANAGEMENT TURNOVER 43

individual interviews), the researcher was able to use these methods to confirm findings.
According to Merriam and Tisdell (2009), triangulation is one of the most popular and most
powerful strategies for increasing creditability in a research study.
Validity and Reliability
Maxwell (2013) referenced internal and external threats to validity as threats that
could “lead to invalid conclusions.” It was not the goal of this research to lead to invalid
conclusions, so it was important that the threats to both internal and external validity were
addressed. Threats to internal validity compromise the results from the research and the
researcher’s ability to be able to justify a connection based on those results. Threats to
external validity compromise the ability to be able to suggest these results can be applied to
other groups or situations (Merriam & Tisdell, 2009).
Recognizing these threats to internal and external validity was important. The
researcher took multiple measures to ensure these threats were minimal. To address threats to
internal validity, in addition to triangulation which was previously mentioned, “peer review”
was used to help to ensure my research is valid and credible. Peer review is where the
research seeks their colleague’s review of the research process to spot inconsistencies in the
research design or protocol. To address threats to external validity, the researcher was sure to
keep in mind the consistency of instrumentation to prevent changes in the instrument,
interviewers or scorers which could have potentially change the outcomes of the data
collected.
Role of Investigator

An ethical consideration that must be addressed is the researcher’s relationship with
the organization that was studied. As an employee of the organization, it was extremely
PERFORMANCE DURING MANAGEMENT TURNOVER 44

important to ensure to the participants in the study that the researcher’s role during this
research process was that of a graduate student and the principal investigator, not an
employee. As mentioned above, measures were taken to ensure their anonymity. However, it
will also be important to note that their identities were not shared with the researcher as well.
Therefore, the identity of who participated could not be shared with the organization. It was
also important to note that if participants shared their own identities during the data
collection process or afterwards, the researcher could no longer ensure their anonymity.
Ethics

How valid or reliable a study is largely dependent on the ethical stance and position
of the researcher (Merriam & Tisdell, 2009). In addition to assuring the research process
produces research that is valid and reliable, it was also equally as important to maintain an
ethical position throughout the research process (Merriam & Tisdell, 2009). Before the data
collection process began, a request to study human subjects was submitted to the University
of Southern California’s Institutional Review Board (IRB) and approved. Approval by the
IRB secured the safety of the subjects that were studied during this research process.
As a part of the organization’s agreement to allow research to be conducted, great
emphasis was put on the requirement to maintain confidentiality through the entire
dissertation, and particularly, through the data collection process. The use of pseudonyms
throughout the study was explained. The interview data was collected by an outside
investigator not related to the organization or the study. If at any point during the process a
participant grew uncomfortable and wished to withdraw, the researched respected that
decision. Prior to any interviews, permission to record audio was requested. The data
collected via audio recordings were transcribed by an outside agency (or individual) before
PERFORMANCE DURING MANAGEMENT TURNOVER 45

the researcher was able to view it to ensure each participant’s confidentiality. Gifts,
monetary or otherwise, were not provided for participation in the study, as not to coerce any
subjects to participate.

PERFORMANCE DURING MANAGEMENT TURNOVER 46

CHAPTER FOUR: RESULTS AND FINDINGS

The purpose of this study was to evaluate the factors that facilitate or hinder
employee performance during leadership transition. Specifically, this study sought to explore
the barriers that prevented Department A from achieving its stakeholder goal during periods
of transition. As mentioned in chapter three, while there was no documented performance
gap, there was some indication that performance was affected by frequent leadership
transition. This problem of practice was not unique to Department A, and it is significant
because it raises concerns regarding how organizations can sufficiently prepare their staff for
transitions to better influence their ability to perform consistently.
During this study, two distinct forms of data were collected to validate the assumed
causes. Quantitative data were collected in the form of surveys, and qualitative data was
collected in the form of interviews. The initial plan included a third data source, document
analysis, but that plan was thwarted as the individual who was to provide the documents
resigned during the middle of the data collection process, and no additional point of contact
could be established in time for this study. The remaining data collection methods sought to
evaluate the knowledge, motivation and organizational challenges that affect employee
performance during management transition.
The results listed in this chapter have been organized by the categories of assumed
knowledge, motivation and organizational causes. Since the interviews were conducted first,
each section for each assumed cause discussed the results from the surveys first, followed by
the results from the interviews. Tables have been added, where relevant, to provide a visual
analysis and representation of the quantitative data.

PERFORMANCE DURING MANAGEMENT TURNOVER 47

Definition of Validation
Each of the influencers discussed in this chapter will have gaps that were validated,
partially validated, not at all validated or unable to be validated based on the data presented.
A validated gap is one where 50% or more of the responses either agreed that the influencer
was necessary or had some variety of agreement that things are not working and need to be
adjusted, and was confirmed by one (if only one instrument was used) or both instruments.
An influence was determined to be partially validated when one source of data showed 50%
or more agreement that everything is working and nothing needs to be changed, but the
second data source conflicted with these findings. An influence was determined to be not
validated when, based on the responses of one or both instruments (where two were used),
participants concluded that everything is working well and no changes needed to be made.
Being “unable to validate” refers to the few situations in which there was not sufficient data
available to determine if a gap was present.
Known Demographics of Respondents
A condition of using Org X and Department A was the requirement to maintain the
anonymity of respondents throughout the study. However, basic demographic information
was captured for the respondents of the surveys. The survey was sent to 32 employees of
Department A who met basic criteria of a minimum 6 months’ employment at Org X. Of the
32 respondents, 19 successfully completed the survey. One of the demographic questions
asked “How long have you been with the organization?” Figure 2 shows that 42% of the
respondents had been employed at Org X for 2-4 years, while 32% have been employed for
1-2 years. A small percentage was employed fewer than a year and greater than 5 years.
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Figure 2. How long have you been with this organization? Frequency of ranking number of
years employed with Org. X. n=19

The survey also asked “How many direct reports have you reported to during your
tenure in the department?” This question revealed that all but two of the respondents reported
to two or more managers, with nine stating they had reported to 2-3 managers during their
tenure and eight stating they had reported to four or more managers during their tenure with
Department A. These results demonstrated that there had been numerous shifts in
management over a short period of time for the employees in Department A.

Figure 3. How many managers (direct reports) have you reported to during your tenure in
this department? Frequency of respondents based on how many managers they have reported
to during their tenure in Department A. n=19
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For the interviews, in the spirit of anonymity, each of the eight interviewees were
referred to throughout this chapter as R+corresponding interview number (ie. R1). This
allowed for differentiation of quotes pulled from the interviews and inserted under
corresponding influencers.
Results and Findings for Knowledge Causes
Using the two aforementioned data collections tools, the assumed factual, procedural
and conceptual knowledge causes were examined. The survey deployed questions related to
the factual and procedural knowledge outlined in Clark and Estes’ (2008) KMO framework.
Each of the individual questions asked in this portion of the survey and/or interview sought
to understand if the respondents had the knowledge and skills the literature deems were
essential knowledge influencers that affect performance. The overall results for the
knowledge section show some disagreement across the 19 respondents. The survey items
ranged 1-7 with 1 being “strongly agree” and 7 being “strongly disagree.” Table 4 shows the
mean and standard deviation of the three survey items that examine the knowledge
influencers outlined in chapter three. In each of these questions, the means fall closely in
between “agree” and “somewhat agree” for each of the items (with the exception of item 4
which used a different scale). Questions 1 and 2 showed larger standard deviations,
suggesting the respondents were in less agreement in their responses. These larger standard
deviation results could be explained by a single outlier who “strongly disagreed” on both
items. Question 4 used a frequency scale with 1= “daily” and 6= “never” (see key below
table 4).

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Table 4

Results of Knowledge Survey Items

Assumed Cause Item Results
Mean SD
Employees receive feedback about
their performance (F) Survey Q4. 2.53 0.75
Employees know their supervisor's
expectations for performance (F) Survey Q1. 2.26 1.29
Employees understand the nature of
their daily tasks and how these relate
to achieving the organizational goal
(C) Survey Q2. 1.95 1.32
Key-Questions 1 and 2. 1=strongly agree; 2=agree; 3=somewhat agree; 4=neither
agree/disagree; 5=somewhat disagree; 6=disagree; 7=strongly disagree; Question 4. 1=daily;
2=weekly; 3=monthly; 4=quarterly; 5=annually; 6=never

Knowledge Influence 1: Employees know their supervisor’s expectations for
their performance. Ninety-five percent of the responders (all but one responder)
“somewhat” to “strongly agreed” that they are aware of their manager’s expectations for their
performance. Of this range, 53% simply “agreed” that they were aware, while 21% “strongly
agreed” they were aware of their manager’s expectations for their performance.
Interviewees were asked about their level of understanding of their manager’s
expectations of them. The overall responses indicated the respondents were fairly clear on
their expectations. The repetitive themes included the need for a reduced error rate in work
processes, timeliness, customer service and accuracy. When asked “How clearly are your
manager’s expectations communicated with you?”, the consensus across all respondents was
that they were clearly communicated, and when they were unclear, they would seek
clarification. When asked “what are some things your manager could do to make those
expectations clearer?”, R1 replied “…make sure our one-on-ones are meetings are actually
on the days that their scheduled and not constantly schedule to the point where I'm only
PERFORMANCE DURING MANAGEMENT TURNOVER 51

seeing my manager once a month for things like that.” R6 recommended that managers
should:
Just take more time to make sure the expectations are clear the first time. Even though
we have a good relationship and as I just said we communicate well it would save
time if I didn’t have to go back and ask for clarity.
For this influencer, a gap was not validated. Survey and interview data for this influencer
revealed that majority of respondents in both methods of data collection were clear regarding
their supervisor’s expectations for their performance. As a result, no gap was found.
Knowledge Influence 2: Employees know how they are performing relative to
supervisor’s expectations. The literature highlighted that feedback was important in
maintaining performance. Specifically, Kluger and DeNisi (1998) noted the importance of
providing feedback that is specific to the task and not the individual completing the task. As
a result, it was important to see how respondents viewed the frequency of their feedback and
if they felt their feedback was supporting their performance or hindering it. This question
sought to determine how often the respondents received feedback from their managers
regarding their performance. The results reveal that 58% (11) of the respondents received
feedback “weekly.” Thirty-seven percent (7) of the respondents received “monthly”
feedback. Again, one outlier in this set of results stated they receive feedback only
“annually.” What was interesting to note from this series of results were the responses from
the previous interview item in which R1 implied that meeting once a month was not
sufficient.
Interviewees were asked to reflect on the level of feedback that they receive and if
that feedback was sufficient in supporting their performance. The consensus across most of
PERFORMANCE DURING MANAGEMENT TURNOVER 52

the respondents was that the need a fair to moderate amount of feedback. Two of the eight
respondents (R6 and R7) did not feel like they needed much feedback to perform their jobs
well. A consistent theme found with this series of responses was that the feedback that they
did receive was mostly negative and untimely. R4 stated, “I get it as often as I need it, it’s
just not always timely feedback.” R3 agreed with the above statement citing “I believe I get a
good amount, again I just wish I always received it when it’s noticed. I’m all about
improving myself and I can’t do that if feedback is given after the fact.” When asked “What
are some things your manager could do differently to ensure proper feedback is given?”, two
themes emerged that were consistent across the responses: that the feedback be given in a
timely fashion, meaning as something that needs to be corrected has happened, and that the
feedback be balanced, meaning a healthy mix of positive and negative feedback.
This gap was partially validated. Survey data for this influencer revealed the majority
of the respondents receive some level of feedback. The interview data suggested that, while
most of the respondents received some form of feedback, they were not totally satisfied with
the quality of feedback they received. So while the survey data supported no gap, the
interview data contradicted the survey data, so this gap was partially validated.
Knowledge Influence 3: Employees understand the nature of their daily tasks
and how these relate to achieving the organizational goal. The literature suggests that
employees need to understand the nature of their daily tasks in order to be successful.
Specifically, they need to understand how their tasks contribute to the greater goal of the
organization. The survey results revealed that more than half of the respondents (53%)
“agreed” and another 37% “strongly agreed” that they understand the goals that are required
PERFORMANCE DURING MANAGEMENT TURNOVER 53

of them and their fellow team members. One respondent “somewhat agreed” and one
respondent “strongly disagreed” with this statement.
The interview responses to the question “What is your understanding of the
organizational goal for Org X?” revealed a variety or responses. However, a few themes that
emerged from the responses included the organization’s mission to provide quality customer
service and to raise revenue for the business. R3 stated,
My understanding of the organizational goals is we have this white glove service that
we go by so, providing the best customer service is very important and that customer
service deals with making sure that we communicate with the organization within the
organization and being open and honest and candid about what we're doing and who
we're doing it for. Being innovative within the organization is really important.
R4 stated, “My understanding is that we want to provide the best service to all of our
program partners and students. We are a leader in what we do and we are expected and
challenged to give the best service that we can.” R6 also stated, “My understanding … would
be that we as an organization have to work together to provide the best customer service and
technological services to ensure our university partners are satisfied and our students are
happy.”
When the interviewees were asked “How does what you do support the organizational
goal?”, many of the respondents chose not to answer this question out of concern it would
reveal them or their roles. The two who did respond provided generic answers, such as R3’s
response stating “So what I do to support the organizational goal is, by providing that white
glove service where a student is allowed to achieve their goals.”
PERFORMANCE DURING MANAGEMENT TURNOVER 54

Based on the responses given, it was not completely clear that the respondents had a
clear understanding of the organization’s goals, thus making it difficult to directly relate their
daily tasks to those goals. The impression left was that the organization simply wants to
provide quality customer service and make money while doing it, without clearly identifying
HOW that service is provided or HOW that money will be made.
This gap was partially validated. Survey data revealed the respondents had a clear
understanding of their daily tasks and how they related to achieving the organizational goal.
However, based on the interview data, it is unclear if the respondents actually knew what the
organizational goals really are to know how their daily tasks support those goals. As a result,
this gap was partially validated.
Knowledge Influence 4: Employees know how the changes will affect them.
Questions 8 and 14 in the interview protocol were designed to capture the conceptual
knowledge that the literature said was necessary to have when transitioning to a new
manager. The literature suggested that it was important to know how the transition would
affect them. Question 8 asked, “When you are assigned to a new manager what questions
often come that you would ask the management about the impact of the transition on your
job?” One response that immediately stood out was R1. They said they would want to know
“Will this person advocate for me. Will this person have my well intentions [best interest] in
mind.” This response was interesting because spoke to idea that personal advocacy was just
as important and professional interests for this respondent. The most consistent theme across
the respondents was understanding the new manager’s management style. R2 stated,
“basically my biggest question would just be their management style and how their
personality would fit with the culture.” R3 stated:
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Well usually the first thing I ask them really is their management style. There
management style will make a difference as to how they like to communicate with
their team and that communication can impact my job. So, what’s their management
style and how they'd like to manage their team and also how they like to see their
team grow and develop. Development is really important as well and making sure that
they have some type of development plan in place.
R4 stated, “I just want to know their management style. I find it frustrating when I get a new
manager and I don’t know what to expect. They just move in and take charge without giving
any instruction or direction.” Expectations, as mentioned in R4’s response, came up again in
other responses. R5 said they’d ask “what are my expectations, and how they will change?”
R8’s response provided a bit more depth to the questions they would asked an incumbent
manager:
“I have a lot of questions. I want to know what type of manager you are. Do you
process information, analyze and then respond or do you just give an immediate response?
That can be an issue within itself. I want to know if you think you are a micromanager or not.
Everyone always says that they aren’t but as we get into it, I look for little things that they
don’t even think they are being a micromanager about.” Question 14 asked, “What do you
believe is helpful to know when it comes to getting a new manager?” Similar themes
surfaced in the responses to this question. Respondents felt they would want to know the
person’s management style and personality. They also mentioned they would want to know
the incumbent’s expectations as well as position on employee development and advocacy.
Because management style can be a significant indicator of how relationships between
PERFORMANCE DURING MANAGEMENT TURNOVER 56

employee and new managers are established, it was not surprising to see most of the
respondents mentioning their concern for the incumbent’s style of leadership.
This gap was validated. The interview responses indicated a lack of information about
how the changes will ultimately affect the respondents. As a result, this gap was validated.
Results and Findings for Motivation Causes
Using the same survey and interview tools used to assess knowledge influencers, the
assumed motivational influences were examined. The survey deployed questions related to
employees’ self-efficacy, the motivational factor identified in the literature on motivational
influences. Each of the individual questions asked in this portion of the survey and/or
interview sought to determine if the motivation barriers outlined in the literature were present
in the work environment. The overall results for the motivation section of the survey showed
more agreement across the 19 respondents. Table 5 shows the mean and standard deviation in
the two survey items that examined the motivation influencers outlined in chapter three.
Table 5

Results of Motivation Survey

Assumed Cause Item Results
Mean SD
Self-efficacy: Employees have
confidence in their ability to meet
the goal in order to conduct their
jobs effectively Survey Q5. 1.79 0.69
team efficacy: Employees have
confidence in their team’s and
leader’s ability to meet the goal Survey Q6. 2.42 1.09
Key-Questions 1 and 2. 1=strongly agree; 2=agree; 3=somewhat agree; 4=neither
agree/disagree; 5=somewhat disagree; 6=disagree; 7=strongly disagree

Motivation Influence 1: Employees have confidence in their ability to meet the
goal in order to conduct their jobs effectively. The literature suggests that employees who
feel confident in themselves and their ability to complete their tasks effectively (self-
PERFORMANCE DURING MANAGEMENT TURNOVER 57

efficacy) are more likely to meet their goals (source). This survey item asked respondents to
rank their level of confidence in their own ability to successfully complete their tasks during
periods of management transition. Fifteen percent somewhat agreed, 47% “agreed” and 36%
stated they “strongly agreed” with this statement. There were no outliers on this item.
This gap was not validated. The survey results indicated that the respondents had
confidence in their ability to meet their goals in order to effectively complete their jobs. As a
result, no gap was found.
Motivation Influence 2: Employees have confidence in their team’s and leader’s
ability to meet the goal. As with self-efficacy, the literature also suggests there is a
relationship with team efficacy and performance. This survey item specifically asked
respondents to rank their level of confidence in their team’s ability to successfully complete
tasks during periods of management transition. The results differed slightly from those for
participants’ confidence in themselves. Fifteen percent “strongly agreed,” 42% “agreed,” and
36% “somewhat agreed” that the team and the leader would be able to effectively complete
their tasks during periods of transition. There was one respondent that “disagreed” with this
statement, meaning they have some level of confidence with their own ability but do not have
confidence in their team’s ability to perform during management transition.
This gap was not validated. The survey results indicated that the respondents had
confidence in their teams’ and leaders’ ability to meet their goals in order to effectively
complete their jobs. As a result, no gap was found.
Because of the variation in responses, a paired-samples t-test was conducted to
compare their responses about their self-efficacy versus their team efficacy (see Figure 4.
There was a significant difference in the scores for confidence in one’s own ability to
PERFORMANCE DURING MANAGEMENT TURNOVER 58

perform (M=1.79, SD=0.69) and confidence in team’s ability to perform (M=2.42, SD=1.09)
conditions; t(18)=-2.47, p < .011. These results suggest that while they were confident in
their own ability to perform tasks, they were significantly less confident in their team’s
ability to perform.
t-test: Paired Two Sample for Means
Q5 Q6
Mean 1.789474 2.421053

Variance 0.508772 1.25731

Observations 19 19

Pearson Correlation 0.325373

Hypothesized Mean Difference 0

df 18

t Stat -2.46668

P(T<=t) one-tail 0.011952

t Critical one-tail 1.734064

P(T<=t) two-tail 0.023905

t Critical two-tail 2.100922
Figure 4. t-test for Survey Questions 5 and 6
Results and Finding for Organizational Causes
The same survey and interview tools were used to assess the organizational
influencers that affect employee performance during transition. There were more
organizational influencers, compared to the identified knowledge and motivation influences,
because this specific problem of practice seemed to be more heavily influenced by the
organizational barriers. Each of the individual questions asked in this portion of the survey
and/or interview determine of the organizational influences that were presented in the
literature were found in the workplace. The overall results for the organization section
seemed to show less agreement across the 19 respondents. Table 6 shows the mean and
standard deviation for the five survey items that examined the organizational influencers
outlined in chapter three, and is sorted in descending order by mean.

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Table 6

Results of Organization Survey

Assumed Cause Item Results
Mean SD
Employees believe that the feedback
they provide to management about
the change process is being
considered Survey Q10. 3.47 1.57
Employees are able to provide
feedback about the change process
to management. Survey Q9. 2.63 1.63
Employees need to work in a climate
of trust during the time of transition Survey Q8. 2.21 1.1
Employees have a specific transition
plan when managers are being
removed and new managers are
being employed Survey Q7. 1.89 0.72
Employees are provided regular
feedback on their performance,
particularly during moments of
managerial transition Survey Q3. 1.11 0.45
Key-Questions 1 and 2. 1=strongly agree; 2=agree; 3=somewhat agree; 4=neither
agree/disagree; 5=somewhat disagree; 6=disagree; 7=strongly disagree
Key-Question 7. 1=extremely useful; 2=very useful; 3=moderately useful; 4=slightly useful;
5=not useful at all

Organizational Influence 1: Employees have a specific transition plan when
managers are being removed and new managers are being employed. The literature
pointed to the usefulness of transitions plans as effective ways to communicate impending
transitions with staff members. When asked how useful a transition plan would be in
assisting with maintaining performance during periods of transition, the respondents all
agreed that it would be useful; 21% “moderately,” 47% “very” and 32% “extremely useful,”
respectively.
Using the interview, interviewees were able to provide additional context surrounding
their views on how the availability of a transition plan would ultimately affect their ability to
PERFORMANCE DURING MANAGEMENT TURNOVER 60

perform. Question ten asked, “What do you think is needed to make your transition to a new
manager a smooth experience for you?” Themes that emerged in the responses included
transparency, honesty about what is happening and why, and better timing around the
communication of said transition. R1 stated that it would be helpful “Maybe just being up
front from the beginning on down, what both sides need from each other in order to have a
positive relationship as well as a productive one.” R3 stated:
Transparency. I think being open about the process and being open about the
transition. Basically just transparency knowing that there is support that we have
during the transition and background information as to why this transition is being
made. Especially if it's some type of organizational change not just like a replacement
or something like that. What makes this change better for our team.
R4 added:
I would like to know the person’s management style. I have gone through several
management transitions in my time with the company and there is always this fine
line we have to walk during the transition because you just don’t know what this
person will expect and accept.
R7 stated, “I think the only thing that can really make the transition smooth is, more time
with the manager.” When asked “to what extent have you been provided these things?” the
responses were a bit scattered. Three of the respondents said they have not gotten the things
the mentioned in their previous responses, two said they believed they were getting what they
needed and the remaining either did not answer or did not respond with an answer that
specifically addressed the question.
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Question 11 asked, “What have your employers done well when it comes to preparing
you for a new manager transition and what do you think your employers could do better
when it comes to preparing you for a new manager transition?” The responses to this
question were a bit short and to the point. R1 stated simply, “To be honest, not much.” They
went on to say “It was kind of just said to me and I heard it from other people who are not in
management, just my fellow coworkers told me I was going to a new manager and I was
going to a new team. So I knew even before I was even told and I feel like that was kind of
unprofessional.” R3 echoes similar sentiments stating “Nothing. Not to say they did anything
bad, but, nothing.” R4 stated, “Honestly? Tell us we are getting a new manager.” R8
provided further context in their response:
Let me know that a new manager is coming and that’s about it. They let me know and
I am like ok cool. The thing is that those conversations happen so far in advance then
they could have let us know a lot sooner than it just happening.
As for what can be done better, respondents believed more inclusion of the team on decisions
like these that affect them was important. They also believe that more notice and
transparency regarding why it is happening were also important. R3 stated:
Well, along with given more of a notice, I think more transparency about the
transition and why it is happening is needed. Along with the things I mentioned
before. It hard to accept a new manager when you barely have notice and don’t know
what to expect.
R5 stated:
I think giving reason behind the change even if they kept it very limited but just
giving a reason within that context and then a reason as to why they chose that person. I think
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it would be nice if that change wasn’t going as anticipated, then give leadership as a whole
the opportunity to regroup and try to come up with things they can do on their end to try to
make it a little bit more smooth over all.
This gap was validated. Survey data concluded that all of the respondents found it
would be useful to have a transition plan during periods of transition. Interview data
concluded that the respondents needed items generally included in a transition plan,
including clear communication surrounding the transition, transparency and information
regarding incumbent’s management style. As a result, this gap was validated.
Organizational Influence 2: Employees are provided regular feedback on their
performance, particularly during moments of managerial transition. Feedback emerged
as a constant theme during the study. Not only does the literature find that feedback is a
critical knowledge component, it also appears as a critical organizational component. When
asked “is there a formal process in place for receiving feedback from your manager?” all but
one respondent (94%) replied “yes.” One respondent was an outlier, stating they were unsure
if a process existed.
During the interviews, respondents were asked “To what extent do you believe the
amount of feedback that you receive is sufficient?” The general consensus was they believe
the amount of feedback they received was sufficient. Only two respondents disagreed, both
citing they believed the managers THINK they are providing sufficient feedback. When
asked “Do you need feedback about the same as, more or less often than you currently
receive it?”, the responses were a bit staggered. Four respondents believed they needed more
feedback, two were comfortable with the amount they received and two believe they could
use less feedback. Specifically, R6 stated:
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A little more positive feedback would be good. I think it’s easy to focus on the
negative things but people don’t only want to hear negative feedback. After a while it
kind of beats you down, you know? So I really wish positive feedback was given
more often. Sometimes I sit and think I know I have done some things well, why
can’t I get feedback from that.
This gap was partially validated. While the survey data and interview data revealed
the respondents knew that there was a formal feedback loop in place and that the amount of
feedback that was provided was did not need to change, there was some indication in the
interviews that, while the feedback is present, it may not be useful. Therefore, this gap was
partially validated.
Organizational Influence 3: Employees are able to provide feedback about the
change process to management and believe that this feedback is being considered. The
literature proposes that there is a distinct link between feedback and performance, not solely
for the employee, but also for the organization. As a result, the literature advocates for
organizations creating a culture where feedback is welcomed and utilized where appropriate.
For this influencer, respondents were asked to determine if they were comfortable with
providing feedback during management transition (Question 9 on the survey). They were
also asked if they thought their feedback was taken into consideration for future changes by
management (Question 10 on the survey). The results revealed some difference between the
two sets of responses (see figures 4 and 5 below). While 32% both “agreed” and “strongly
agreed” that they were comfortable providing feedback regarding changes, there was a
smaller percentage (5% and 16%) that either “disagreed” or “strongly disagreed” with their
level of comfort in providing feedback regarding changes during management transition.
PERFORMANCE DURING MANAGEMENT TURNOVER 64

These results also revealed some difference between the responses to the second half of the
question which asked whether they believed their feedback is considered by management.
The larger majority (42%) “somewhat agreed” that their feedback is considered, however
there were respondents falling just about equally on both sides of that answer. Because of the
variation in responses (see Figure 5 and 6), a paired-samples t-test was conducted to compare
their responses about their confidence in providing feedback and their confidence that their
feedback would be considered by management (see Figure 7). There was a significant
difference in the scores for confidence in providing feedback (M=2.63, SD=1.63) and
consideration of feedback by management (M=3.47, SD=1.57) conditions; t(17)=-1.77, p <
0.047. These results suggest that while the respondents are comfortable in providing
feedback to the organization regarding changes during transition, they were significantly less
confident that their feedback was being considered by management.

Figure 5. I am comfortable providing
feedback about the changes that occur
during a management transition.

Figure 6. I believe the feedback that I
provide regarding the changes that occur
during transition are taken into consideration
by management

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Q3 Q5
Mean 2.611111 3.388889
Variance 2.957516 2.604575
Observations 18 18
Pearson Correlation 0.37561

Hypothesized Mean
Difference 0

df 17

t Stat -1.76963

P(T<=t) one-tail 0.047361

t Critical one-tail 1.739607

P(T<=t) two-tail 0.094723

t Critical two-tail 2.109816
Figure 7. t-test for Survey Questions 9 and 10
It was important to receive some additional context around whether or not the respondents
believed the feedback they provide to managers is taken seriously. Question 9 of the interview
asked “To what extent you believe your feedback is taken seriously by management?” The first
telling response came from R1 who stated, “I don’t feel like my manager personally takes me
very seriously.” When asked if they could provide an example, they replied “OK so we’ve got a
senior leader and she has been visiting each manager’s team, and I was encouraged to not ask
questions.” R4 replied “I believe they take it seriously, but they don’t always act on it.”
Providing additional context, R5 stated, “I think that's kind of a double edged sword question
because they do take it….So I think they're willing to take it but as far as act on it, not so much.”
This gap was validated. The results from the survey items and the t-test reveal the
respondents are less comfortable providing feedback to their managers, although they seemed
comfortable providing overall feedback to the organization as a whole. It also revealed a lack of
confidence that their feedback was taken seriously by management. As a result, this gap was
validated.
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Organizational Influence 4: Employees work in an environment that has procedures
to clearly and regularly communicate updates about the transition. Literature presented
earlier on noted the importance for managers to clearly and articulately communicate the purpose
of the change. Question 12 asked respondents to describe how plans about transition are
communicated. The consensus across all respondents was that the transition was typically
communicated via email or during a team meeting. When asked what the communication clear,
all but two responded yes. When asked “how are updated communicated?”, 4 of the 8
respondents said there were no updates, while the other 4 responded that any updated were
provided by email. R2 added:
Sometimes they're very transparent where they will tell us in a timely manner. Sometimes
they come at the very last minute once it pretty much has already been said and done. But
they do communicate updates with us. But like I said sometimes it's not always before it
actually happens.
R8 states:
We don’t actually get updates. Again they just tell us it’s happening. We don’t get any
updates or any other communication until after the decision has been made. We don’t
know why it’s happening, or what’s going to happen until it actually happens. I don’t like
it but I deal with it. I do feel like the communication could be a lot better. But again
speaking on that just goes back to my others responses about communicating plans about
transition ahead of time.
This gap was unable to be validated. The results interviews revealed that, while the
respondents believed communication of updates were clear, half of the respondents listed there
were no updates at all. This suggests either the respondents did not understand what was being
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asked or did not understand what classified as “updates.” Because of the inconsistency with the
data, the gap was neither validated or invalidated. Further research or clarification would have
been required.
Organizational Influence 5: Employees need to work in a climate of trust during the
time of transition. Trust is another theme that was highlighted in the organizational literature
related to performance. It notes the importance of employees’ ability to trust the leadership of the
organization, particularly during moments of transition. This survey item asked stated “I trust
that my manager is doing their best to provide clear instructions and expectations during a
leadership transition.” Respondents used a Likert agreement scale ranging from “strongly agree”
to “strongly disagree.” The survey results showed a relative consensus of agreement from 17 of
the 19 respondents, with one respondent replying they “neither agreed nor disagreed” and one
stating they “somewhat disagreed.” Each agree category (“strongly agree,” “agree” and
“somewhat agree”) had 6 responses, 6 responses and 5 responses respectively.
Question 16 of the interview asked “To what extent do you trust that your managers are
doing their best to provide clear instructions and expectations during transition AND what
affects that trust between you and your managers?” The data from these responses revealed that
6 out of 8 respondents trusted that their managers were doing their best to provide clear
instructions and expectations during transition. R5 did not agree, stating “I don't think they are
because I don't think they know how to. So not very well.” R8 also did not agree, stating:
“I don’t trust that management provides clear instruction because I don’t think they always know
how to give instruction or know what they are doing to give instruction. When you have
managers coming in after you who don’t know as much about the department as you do, it is
hard to trust that they even know what they are talking about. I think there needs to be more
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conversation around transition instead of us finding out its happening as it happens. No one can
properly prepare for transition that quickly.”
When asked “To what extent do you trust the leadership team when there is a period of
leadership transition?”, several themes about what impacts trust emerged. Transparency, being
open and honest about the transition, and clear communication were among the most cited
themes across responses. Only 1 of the 8 respondents stated they were able to trust the leadership
team. R4 stated:
I don’t trust the leadership team. I don’t think they always know what they are doing in
relationship to the department as a whole. Again, I will say lack of transparency. I’m not
saying I need to know everything or the team needs to know everything but withholding
useful information damages the trust. I don’t see harm in letting us know simple things
like when a change is coming.
R5’s response distinguished trust based on the level of leadership:
I think it varies on all different levels of leadership. So with senior leadership, I do really
love their transparency and, even with middle upper leadership, I noticed how transparent
they are and they're very great at wording things and just making it a very open forum.
Whereas I think lower level management [direct managers] has a lot to learn from our
upper level [Director level]. Even if our upper level management gives a politician
[diplomatic] answer, I think there is a lot of respect in what they are saying and how
they're communicating and the fact that they are willing to take the question in the first
place and try to give a response.
As they responded to the factors that affect their level of trust, the responses were almost
unanimous with two key themes: communication and transparency.
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This gap was not validated. The combined data from the survey and interview results
indicated the respondents agreed that they trust the leadership of the organization, particularly
during period of management transition. Therefore, the gap was not validated.
Organizational Influence 6: Employees work in a climate that encourages a sense of
flexibility and openness to change. In addition to trust, the literature also recommends
organizations create a climate that is open to change and allows employees to be flexible during
periods of change. Respondents were asked two questions to gauge their level of comfort with
change. Question 7 asked, “How do you feel when you are assigned to a new manager?” A
common theme that emerged was a sense of anxiety. R1 stated, “I feel a little anxiety but curious
at the same time.” R3 also described a sense of anxiety stating, “[I get] Nervous somewhat. Only
because you are unaware of what their personality.” R5 simply responded that they “uncertain
and excited.”
R7 provided the most insightful response:
I've been with the company for enough time to know managers do switch around. I used
to be frustrated and upset at this, especially if I was with one manager long enough to
build a good rapport and kind of feel that we’re working fluidly together as a team to
kind of give the best output. But since its happened so many times now, it's just kind of
take it as a learning opportunity. You get to learn how to interact with new people and
you get to learn more perspectives because you're never going to know exactly [how to]
do things the right way because there is no right way, you just kind of learn different
ways and, hopefully overall make yourself better.
Question 18 asked, “How comfortable are you with change? All 8 respondents stated
that, overall, they were comfortable with change. R2 responded, “I am comfortable with change.
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However, I would like to know when change is coming. I would like to be able to deal with the
change but I am overall comfortable with change.” R5 stated, “I am very comfortable with it as
long as I have the right kind of knowledge around it.”
Part A. to this question asked “Does the organization make you more or less comfortable with
change?” R1 responded:
I feel like it makes me feel comfortable because the CEO always [reconfirms] the
direction that we are heading in. They try to always be open, candid and honest with us
and I feel like the affects the comfortability and trust. I think a lot of people approve of
our CEO.
R2 had similar views:
I don't think it's more or less comfortable, it’s more of sometimes I can get anxious
because there are so many changes that are happening because we're growing very
rapidly. But I mean I guess if I have to say more or less it would probably be more
comfortable because I do trust the company.
However, R4 had a different perspective. They respond, “[The org makes it] less comfortable.
Change occurs frequently here which would make you think you would get used to it, but that’s
not the case. Change can sometimes be messy and too frequent.”
This gap was partially validated. The interview data indicated that while the respondents
believed they were comfortable with change overall, there was some anxiety about getting a new
manager. There was also indication that some respondents believed the organization made it
comfortable to experience change while others believed the frequent change imposed by the
organization made them less comfortable. As a result, this gap was partially validated.

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Table 7
Validated Influencers Table
Assumed Influences Validated
Yes, Partially or No
Knowledge Factual:
Employees know their supervisor’s expectations for
their performance
Not Validated
Knowledge (Factual)
Employees have feedback about their performance
(how they are doing relative to supervisor’s
expectations)

Partially Validated
Knowledge (Conceptual)
Employees understand the nature of their daily tasks
and how these relate to achieving the organizational
goal
Partially Validated
Employees know how the changes will affect them.

Validated
Self-efficacy: Employees have confidence in their
ability to meet the goal in order to conduct their jobs
effectively

Not Validated
team efficacy: Employees have confidence in their
team’s and leader’s ability to meet the goal
Not Validated
Employees are able to provide feedback about the
change process to management

Not Validated
Employees have a specific transition plan when
managers are being removed and new managers are
being employed

Validated
Employees are provided regular feedback on their
performance, particularly during moments of
managerial transition

Partially Validated
Employees are able to provide feedback about the
change process to management and believe that this
feedback is being considered

Validated
Employees work in an environment that has procedures
to clearly and regularly communicate updates about the
transition

Unable to Validate

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Employees need to work in a climate of trust during
the time of transition

Validated
Employees work in a climate that encourages a sense
of flexibility and openness to change.
Partially Validated

Summary
This chapter presented all of the data collected via the survey and interviews deployed to
assess the knowledge, motivation and organizational influences outlined in chapter three. For the
knowledge influencers, one was validated, two were partially validated and the last was not
validated. No motivation influencers were validated. For the organizational influencers, three
were validated, two were partially validated, and one was unable to be validated. In chapter five,
the validated influencers were further discussed and recommendations for transition planning
and communication were provided to Org X and Department A that will support more efficient
and meaningful communication techniques geared to prepare their staff for management
transition.
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CHAPTER FIVE: RECOMMENDATIONS
Chapter one of this study revealed a current problem of practice: understanding the
factors that facilitate or hinder employee performance during periods of management transition.
Specifically, chapter one outlined why this was a problem and why it was important to find
solutions to this problem of practice. Chapter two reviewed relevant literature that highlighted
the influencers that could affect performance during management transition. A review of the
theoretical framework presented by Clark and Estes’ (2008) KMO model was also provided.
Chapter three explained the study design and methodology that were used to deploy this mixed-
methods study. It supplied a road map for how the surveys and interviews were designed and
implemented, and how the data were analyzed in chapter four. Chapter four provided a full and
detailed data analysis of items gathered during the survey and interview processes. The data were
presented in the same order of knowledge, motivation and organizational influencers that were
described in the influencers table in chapter three. This chapter will provide some
recommendations that Department A and Org X can consider to ensure that employees have the
proper knowledge, motivation and organization skills and support required to achieve their
department and organizational goals during management transition.
Recommendations for Practice to Address KMO Influences
Knowledge Recommendations
Table 8 highlights the validated knowledge influences that were determined in chapter
four, and designates proper principles and context-specific recommendations that can guide the
organization toward effective change.

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Table 8
Summary of Knowledge Influences and Recommendations
Assumed Knowledge
Influence

Validated?

Principle and
Citation
Context-Specific
Recommendation
Employees know how
the changes will affect
them.
Yes 1. Changes in the
environment can
affect behavior.
(Daly, 2009;
Tuckman, 2006)
1. Create an
environment that
fosters desirable
behaviors.
(Tuckman, 2006)

2. Identify
environmental
influences that
affect behavior.
(Tuckman, 2006)

Knowledge solutions, or description of needs or assets. Table 8 reflects the
relationship between employees needing feedback and understanding their roles to the principle
that influences the behavior. Daly (2010) and Tuckman (2006) note that changes to an
environment can affect an employee’s performance, therefore, understanding how the changes
will affect them is important. Shute (2008) also acknowledges the importance of timely
feedback, as an effect on performance. Therefore, this suggests the necessity to have feedback
that is timely, concise and relative to the performance of the employee. This feedback delivered
in this way enhances performance, according to Shute (2008). It is also recommended that
managers identify environmental influencers that could affect the behavior, and ultimate
performance, of the employees (Tuckman, 2006).
Motivation Recommendations
Since none of the motivation influencers were validated, no recommendations were
made.
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Organization Recommendations
Table 9 highlights the assumed organizational influences that were validated in chapter
four, and designates proper principles and context-specific recommendations that can guide the
organization toward effective change.
Table 9
Summary of Organization Influences and Recommendations
Assumed
Organization
Influence
Validated?

Principle and Citation

Context-Specific
Recommendation
Cultural Settings:
Employees have a
specific transition plan
when managers are
being removed and
new managers are
being employed
Yes 1. Effective change efforts
are communicated
regularly and frequently
to all key stakeholders
(Clark & Estes, 2008).

1. Regularly meet
with individuals
from all areas of the
organization to
share ideas with
and get feedback
from them.
2. Look for ways to
work your message
into already-
existing forums.
Employees believe
feedback they provide
to management about
the change process is
being considered

Yes 1. Effective change efforts
utilize feedback to
determine when/if
improvement is
happening
(Clark & Estes, 2008)

1. Create a monitoring
process, with
regular check in
meetings to review
data and make
course corrections
if needed.

Cultural Model:
Employees need to
work in a climate of
trust during the time
of transition

Yes 1. adopting a more positive
motivational climate
increases individual and
organizational trust
(Clark & Estes, 2008)

2. Effective change begins
by addressing
motivation influencers;
it ensures the group
knows why it needs to
change. It then
1. Evaluate
approaches to
improving
motivation in an
organization in an
effort to build trust
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addresses organizational
barriers and then
knowledge and skills
needs (Clark and Estes,
2008).

Cultural models. It is important for employees to work in an environment that has
procedures it can clearly and regularly communicate to its employees surrounding management
transition. As with all other forms of communication, this allows employees to feel engaged and
involved with what is to occur that may or may not affect their roles or performance. It is
important to over communicate candidly what the plans are and what progress has been made
(Clark & Estes, 2008). To achieve this, Clark and Estes (2008) recommends managers evaluate
current policies, procedures and messages to ensure there is alignment with your goals.
One of the most significant concepts that showed up frequently was the significance of
working in a climate of trust, and one that encourages flexibility and openness to change,
specifically during a period of manager transition. Clark and Estes (2008) enforces the
importance of approaching change by first addressing motivation influencers. They assert that
this step is significant in getting the team to understand why the changes are needed and gather
their buy-in. They then recommend that the next set of barriers to address are the organizational
needs, then the knowledge and skills needs (Clark & Estes, 2008). To do this, it is recommended
that there be an overall evaluation of motivation improvement approaches that help to build trust
in the organization and with the process.
Cultural settings. Effective change models take into account the culture settings with
which the organization (or in this case, the department) operate (Clark & Estes, 2008). A large
part of Department A’s function relies heavily on specific processes that require unique training
and feedback. If managers need to evaluate how the individuals respond to these tasks during
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management transitions, they will need to explore how change efforts are affecting them. Clark
and Estes (2008) highlights the importance of communicating regularly and frequently to all key
stakeholders. To do this, it is recommended that managers meet regularly with individuals from
all areas of the department to share ideas and get feedback. Additionally, it is recommended that
employees be provided regular feedback (Tuckman, 2006) from direct managers via one on ones
and performance appraisals, particularly during the first 30 days of management transition. It is
also recommended managers examine their current modes of communication to find additional
areas where messages can be added or enhanced.
Another critical component to effective change models is seeking feedback to determine
if there is true learning occurring. Kirkpatrick and Kirkpatrick (2016) asserts that without some
type of monitoring plan, even the best training plan or change model would be ineffective. It is
recommended that a monitoring process is created with regular check in meetings to review the
training plan and make necessary adjustments as needed.
Integrated Implementation and Evaluation Plan
Implementation and Evaluation Framework
The model used to inform implementation and evaluation strategies for this study is the
New World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016). The new world model
enhances the original Kirkpatrick model introduced in the 1950’s. This model has four levels:
Reaction, Learning, Behavior and Results. The design of this model focuses on the four levels in
reverse, evaluating implementation plans from the fourth level, which assesses the results of the
proposed plans. The next level, according to this inverted evaluation model, focuses on the
behaviors of the audience, that is, to what degree is the audience applying what they have learned
from the training on the job. The third step, or level two, explores what learning was acquired
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through the training. The final level, or level one, examines the reaction of the participants and
how much they enjoyed the training and if they found the training relevant to their current jobs.
This new model allows change agents to evaluate the effectiveness of a training model or
implementation plan through a well-organized and structured tool that measures effectiveness.
Whether it is using concepts such as measuring critical behaviors and acknowledging required
drivers at level three, or measuring relevance and engagement in level one, Kirkpatrick’s new
world model has created a tested and replicable standard by which evaluation can be measured.
Organizational Purpose, Need and Expectations
The purpose of Department A is to process documents needed by partners to determine
students are eligible to be admitted into various programs with partners. It is critical for this team
to be able to complete these documents with 100% accuracy so they can be sent to external
stakeholders for review. Most of this process is time sensitive so accuracy is very important. The
more inaccurate documents are sent can result in fewer positive decisions which directly affect
Org X’s bottom line of revenue. This project involves examining the organization addressing the
knowledge, motivation and organizational barriers that could prevent Department A from
accurately completing these documents in a timely manner. The proposed solution, a complete
review and overhaul of all communication plans, including feedback, with accountability
processes that measure effectiveness, should yield the desired outcome--to have employees in
Department A have the necessary knowledge, motivation and organizational skills required to
have the ability to continue to perform well, despite going through management transition.
Level 4: Results and Leading Indicators
Table 10 outlined the outcomes, metrics and methods by which the outcomes can be
achieved, as described in Kirkpatrick’s Level 4: Results and Leading Indicators. Department A
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should work toward achieving the internal outcomes listed in the table, while also monitoring the
external outcomes that could affect their overall goal.
Table 10

Outcomes, Metrics, and Methods for External and Internal Outcomes
Outcome Metric(s) Method(s)
External Outcomes
Fewer returned
applications from partners
Number of returned applications
with errors from partners

SF error reports generated by
partner

Maintaining compliance
of partner by correcting
errors in timely manner
Number of corrected errors over
specified time period
SF error reports generated by
partner
Internal Outcomes
Increase number of
applications received in
queue completed with
zero errors

Number of applications in queue
completed
SF reports generated by
operations team
Increase number of
completed applications as
a result of fewer errors
Number of applications
completed of a period of time
SF reports on performance over
a period of time compared to
historical data

Level 3: Behavior
Critical behaviors. The stakeholder group of focus is Department A of Org X who are
responsible for completing intake documents with 100% accuracy for the organization. One of
the critical behaviors for this department is to accurately calculate GPAs using all required
transcripts. The second critical behavior is ensuring that each of the total intake packets have
been pre-screened and cross checked for accuracy. The third critical behavior is proper planning
of their day by checking email and queues upon arrival to work before starting their daily tasks.
Table 11 lists these behaviors, along with the metrics, methods and timing necessary to support
these behaviors.
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Table 11

Critical Behaviors, Metrics, Methods, and Timing for Evaluation
Critical Behavior Metric(s)
Method(s)
Timing
Team members
calculate GPAs using
all transcripts
submitted and
required by
stakeholder
Number of intake
documents with GPA
errors and omissions
1a. Have a “final
review” process by
which a second set of
eyes reviews
calculations for
accuracy

Preferably, same
business day but at
latest 24 hours.
1b. Create checklists for
both initial and final
reviewers to document
process has been
completed

immediately
following review
At least one other
team member cross
check each completed
applications for
accuracy

List of checked
packets against master
list of completed
packets
Use cross checklists
designed by managers as
references
within 24 hours of
submission
Check email and
queues for current
day’s workload
number of items in
queue at start/end of
day
3a. Review queue
distribution
multiple times
throughout the day,
noon and COB
3b. Use statistics from
SF to track actions and
complete times
daily-end of day

Required drivers. In order for members of Department A to meet the outcomes
established, there are required that will be needed to support these team members. Table 6
outlines the necessary drivers that are recommended to support the team members. Through
training and evaluation, managers will then need to support methods of reinforcement,
encouragement and reward, as outlined in Kirkpatrick (2016).

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Table 12
Required Drivers to Support Critical Behaviors
Method(s) Timing
Critical Behaviors Supported
1, 2, 3 Etc.
Reinforcing
A work review checklist that
outlines the steps in the
review process with check
boxes

24 hrs after task is completed 1, 2, 3
Refreshers hosted by the
managers that outline critical
steps and any changes to the
process

quarterly 1, 2
Job aids that include visual
flow charts with processes
that are outlined in the
checklists

regularly 1, 2
Reminders of the process via
email, 1:1 evaluations or
during team meetings

as needed 1, 2, 3
Encouraging
Coaching from direct manager
with feedback on performance

weekly during 1:1 1, 2, 3
Rewarding
Recognition via shout outs at
team meetings or through
performance incentives
regularly as earned 1, 2, 3

Monitoring. Assuring that the organization is holding proper stakeholders accountable
for ensuring the drivers that support critical barriers are enforced is critical to success. However,
conducting surveys about implementation 90 days after is not sufficient (Kirkpatrick &
Kirkpatrick, 2016). The department can monitor whether the required drivers are in use by
observing the performance of the individuals and discussing best practices during team meetings.
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The department can also use regular surveys to garner feedback about the process and make
recommendations or process improvements based off of that feedback.
Level 2: Learning
Learning goals. Following the completion of the recommendations listed above,
individuals in Department A will be able to:
1. Recognize the required steps to complete the audit of required documents with 100%
accuracy (P)
2. Create appropriate timeline to complete review of documents to ensure timeliness (P)
3. Monitor their personal and team work performance through the accountancy of errors
(M)
4. Indicate their level of confidence in their ability to complete their tasks with the expected
accuracy and timeliness required (M)
Program. The above stated learning goals will be achieved with a two-part training and
evaluation program that includes retraining the individual contributors on the steps and required
skills required to complete their tasks, but also creating a transition onboarding that allows old
managers to share goals, expectations and best practices with incoming managers to ensure
communication of these items is fluid and cohesive. The first part of the program will
reemphasize all of the critical behaviors outlined in table 11, as well as introduce the required
drivers outlined in table 12. This first part of the program will happen over a period of three days
and will be conducted bi-annually via a live or virtual training. The second part of the evaluation
program involves the creation of what will be referred to as transition documents. These
documents will not only include all information specific to policy and process, but also all of the
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1:1s and feedback received over the past six months to allow the incoming manager to assess
goals, expectations and motivation relative to the individuals on the team that he/she is acquiring.
Components of learning. When implementing a training program, it is imperative to
assess if the individuals participating are able to process what they are learning to be able to
apply what is being taught or reinforced in their daily roles. Table 13 below lists ways learning
(both declarative and procedural knowledge) can be evaluated and how proposed timing for
completing these assessments.
Table 13
Components of Learning for the Program
Method(s) or Activity(ies) Timing
Declarative Knowledge “I know it.”
Knowledge checks via multiple choice surveys
or during peer share
During training workshops
Knowledge checks via surveys After completion of each training session

Procedural Skills “I can do it right now.”
Pre- and post-test to check for ability Delivered prior to and proceeding the training
sessions
Practice review using pseudo documents (role
play)
during each proposed training or in group
settings

Attitude “I believe this is worthwhile.”
Presenter observations of responses and
engagement
During each proposed training session
Retrospective pre- and post-tests Delivered prior to and proceeding the training
sessions

Confidence “I think I can do it on the job.”
Group sharing during training
surveys using scaled or open-ended questions post-training

Commitment “I will do it on the job.”
Observation or responses and engagement during trainings or in group settings
open ended exit training question (pulse check) at the end of the training session

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Level 1: Reaction
Kirkpatrick and Kirkpatrick (2016) says that more than half of training sessions evaluate
level one reaction. It is important to measure to which degree a participant felt the training was
engaging and relevant. Table 14 outlines the methods that will be used to measure how
participants in Department A react to the learning event.
Table 14
Components to Measure Reactions to the Program
Method(s) or Tool(s) Timing
Engagement
Observation by the management team or
individuals leading the training sessions or
refreshers
Ongoing
Training evaluations At the end of each training session
Reflection survey One week after training sessions
Relevance
Observation during sessions via engagement
and feedback
During sessions
Relevance Survey pre- and post-training
session
Directly before and proceeding training session
Customer Satisfaction
Customer satisfaction survey Directly proceeding training session

Evaluation Tools
Immediately following the program implementation. Kirkpatrick and Kirkpatrick
(2016) acknowledges the use of formative evaluations methods at level one. Using these methods
of evaluation, trainers can receive immediate feedback and adjust their training as necessary.
These types of evaluation tools should be administered during the training sessions. They include
pulse checks, dedicated observers throughout the sessions and instructor observations. Appendix
A is an example of a survey that will be administered at the end of one of the proposed training
sessions. It allows the participant to reflect on the training session and determine its relevance
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85

(Level 1). It also allows them to reflect on what they have learned and their ability to apply what
they have learned and their commitment to applying the new knowledge (Level 2). According to
Kirkpatrick and Kirkpatrick (2016) this timing is critical since this is the point at which the
likelihood of a higher response rate is greater.
Delayed for a period after the program implementation. While Kirkpatrick and
Kirkpatrick (2016) assert that evaluating participants of the training programs immediately
following the session is important, they also recognize the usefulness of delaying evaluation to a
later time frame. They assert that delaying evaluation gives participants a chance to process and
apply what was learned from the training session, thus providing more meaningful feedback.
Data Analysis and Reporting
Since these refresher trainings are provided quarterly, reporting the data will be hugely
important, particularly for new team members who have not yet participated in the sessions. In the
team’s newsletter, results from the survey be administered to the immediate staff to report the
overall group’s feelings about the session. The results will also be shared during the larger team’s
All Colleague call that is conducted every two weeks. During the announcements on the call, a
designated team member will share with the larger team what new initiatives and changes were
introduced during the session, along with the result of the satisfaction survey that each participant
completed. The larger post survey results will remain with the more immediate group.
Limitations and Delimitations for Future Research
One of the biggest limitations of this study was the requirement of anonymity. Because
the organization of study only agreed to the study on condition of full anonymity, as the
researcher, I was unable to fully engaged in the data collection, particularly during the
interviews. The interview protocol was scripted and, therefore, the interviewer who was hired to
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86

conduct the interviews was forced to stick to the script with little room to probe interviewees for
additional context to their responses. Additionally, during the data collection process, there was
some continued and significant management transition that the study group was undergoing that
may have affected the response rate for each portions of the data collection.
A delimitation involved the inability to know whether or not any of the survey
respondents had also completed the interview, or vice se versa. Lastly, the project was only
studying a small department in an organization of close to 2000 employees. So it is not clear if
the amount of manager transition or this if this data is representative of the entire organization or
unique to this particular department.
Recommendations for Future Research
During the data collection process, it was evident that the employees were very much
concerned about the personal effects of manager transition, that is, how will this transition affect
me? Does the leadership team have my best interest at heart? Am I being considered in all of
this? The term “individual contributor” is used loosely in organizations and there seems to be
evidence that the “individual” is lost in the grand scheme of organizational change. So, it is
recommended that future research explore the extent to which individual contributors are
supported and motivated during periods of transition, not just limit the focus to their
preparedness. It is recommended that future research also explore how organizations can better
incorporate the personal needs of individual contributors to global organizational change
initiatives as to not lose the sense of oneness and individuality.
Conclusion
Manager transition is something that is bound to occur within organizations, particularly
organizations that experience high growth. It is a recommended practice that when management
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87

transitions are expected, there is a clear and relevant communication plan that goes to the staff
members that are most affected by the transition. The fundamental principles on management
transition presented in this study, as well as in the organizational change literature as a whole,
suggest that organizations have to be clear, transparent, honest and proactive in their
communication of management transition. It is evident, based on the research presented above,
that this organization still has some work to do to better prepare its staff for transition. It is also
clear that there are some managers who are more well equipped than others are communicating
transition plans. It is important that the organization does a gap analysis of what they do well
versus what they need to improve upon in order to fully prepare and engage their employees
during transition periods, particularly if they see transition as a continued and steady
phenomenon with their organization.
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88

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31375501?accountid=14749
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APPENDIX A
Survey Items
QUESTION: I understand my supervisors’ expectations for my performance.
1 2 3 4 5 6 7
Strongly
agree
Agree
Somewhat
agree
Neutral Somewhat
disagree
Disagree
Strongly
disagree

QUESTION: I understand the goals that are required of myself and my team.
1 2 3 4 5 6 7
Strongly
agree
Agree
Somewhat
agree
Neutral Somewhat
disagree
Disagree
Strongly
disagree

QUESTION: Is there a formal process in place for receiving regular feedback from your
manager?
1 2 3
Yes No Not sure

QUESTION: How frequently do you receive feedback about your performance?
1 2 3 5 6 7
Daily Weekly Monthly Quarterly Annually Never

QUESTION: I am confident in my ability to successfully complete my daily tasks during
periods of management transition.
1 2 3 4 5 6 7
Strongly
agree
Agree
Somewhat
agree
Neutral Somewhat
disagree
Disagree
Strongly
disagree

QUESTION: I am confident in my team’s ability to successfully complete their daily tasks
during periods of management transition.
1 2 3 4 5 6 7
Strongly
agree
Agree
Somewhat
agree
Neutral Somewhat
disagree
Disagree
Strongly
disagree

QUESTION: To what extent would having a transition plan assist you in maintaining your
performance during the transition period?
1 2 3 4 5
Extremely
useful
Very useful Moderately
useful
Slightly
useful
Not at all
useful

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QUESTION: I trust my manager is doing their best to provide clear instructions and
expectations during a leadership transition.
1 2 3 4 5 6 7
Strongly
agree
Agree
Somewhat
agree
Neutral Somewhat
disagree
Disagree
Strongly
disagree

QUESTION: I am comfortable providing feedback about the changes that occur during a
management transition.
1 2 3 4 5 6 7
Strongly
agree
Agree
Somewhat
agree
Neutral Somewhat
disagree
Disagree
Strongly
disagree

QUESTION: I believe the feedback that I provide regarding the changes that occur during
transition are taken into consideration by management.
1 2 3 4 5 6 7
Strongly
agree
Agree
Somewhat
agree
Neutral Somewhat
disagree
Disagree
Strongly
disagree

Demographics:
How long have you been with this organization?
o 6 months-1 year
o 2-4 years
o 5+ years

How many managers (direct reports) have you reported to during your tenure in the
organization?
o Just 1
o 2-3
o 4+

How many managers (direct reports) have you reported to during your tenure in this department?
o Just 1
o 2-3
o 4+

Please answer the following items as honestly as you can. Your answers will remain entirely
anonymous and will in no way affect your performance in the course.
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APPENDIX B
Draft Recruitment Script
Dear perspective study participant,

As a student in the Organizational Change and Leadership program at the University of
Southern California, I invite you to participate in a brief survey and interview about your
experiences with performance during management turnover on your team within your
organization. Your participation is voluntary and will take a total of approximately 60 minutes.
Your identity and any identifiable data will be kept completely anonymous, even from myself,
the principal researcher. The purpose of this study is to understand was factors facilitate or
hinder employee performance during periods of management turnover.
Your participation is completely anonymous and voluntary and the alternative is not to
participate. If you decide to participate, you will be given an information sheet about the study,
you will be asked to complete a consent form acknowledging your role in the study, you will fill
out an electronic survey and take part in an interview for about 45 minutes.

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APPENDIX C
Interview Questions
1. Tell me about your day to day activities at work?
a. What are you responsible for?
2. What is your immediate team responsible for?
3. To what extent do you have the tools necessary to do your job well?
4. What do you understand to be your manager’s expectations of you?
a. How clearly are your manager’s expectations communicated with you?
b. What are some things your manager could do to make those expectations clearer?
5. To what extent do they believe the amount of feedback that you receive is sufficient?
a. Do you need feedback more or less often than you currently receive it?
6. What is your understanding of the organizational goal?
a. How does what you do support the organizational goal?
7. How do you feel when you are assigned a new manager?
8. When you are assigned a new manager, what questions often come that you would ask
management about the impact of the transition on your job?
9. To what extent they believe your feedback is taken seriously by management?
a. Can you provide an example?
10. What do you think you need to make a transition to a new manager a smooth experience
for you?
a. To what extent have you been provided those things?
11. What have your employers done well when it comes to preparing you for a new manager
transition?
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a. What do you think your employers could do better when it comes to preparing
you for a new manager transition?
12. Describe how plans about transition are communicated.
a. Is the communication clear and regular?
b. How are updates communicated?
13. How much feedback do you need to do your job well?
a. To what extent do you get that amount of feedback from your current manager?
b. What are some things your manager could do differently to ensure proper
feedback is given?
14. What do you believe is helpful to know when it comes to getting a new manager?
15. Given what you know about the values of the organization, to what extent do you believe
your immediate supervisor models these values?
16. To what extent do you trust that your managers are doing their best to provide clear
instructions and expectations during transition?
a. What affects that trust between you and your managers?
17. To what extent do you trust the leadership team when there is a period of leadership
transition?
a. What affects that trust between you and your leadership team?
18. How comfortable are you with change?
a. Does the organization make you more or less comfortable with change?
b. What about your organization, if anything, helps you feel this way?

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Asset Metadata

Creator Green, Kimberly (author)

Core Title Factors that facilitate or hinder staff performance during management turnover

School Rossier School of Education

Degree Doctor of Education

Degree Program Organizational Change and Leadership (On Line)

Publication Date 11/14/2017

Defense Date 10/20/2017

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag management transition,management turnover,OAI-PMH Harvest,Performance

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Sundt, Melora (committee chair), Datta, Monique (committee member), Seli, Helena (committee member)

Creator Email greenkim@usc.edu,k_green5@hotmail.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c40-453963

Unique identifier UC11264232

Identifier etd-GreenKimbe-5913.pdf (filename),usctheses-c40-453963 (legacy record id)

Legacy Identifier etd-GreenKimbe-5913.pdf

Dmrecord 453963

Document Type Dissertation

Rights Green, Kimberly

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus MC 2810, 3434 South Grand Avenue, 2nd Floor, Los Angeles, California 90089-2810, USA