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City Research Online City, University of London Institutional Repository Citation: Lehman, E.V. (2001). Models of self governance and workplace democracy: a comparison of select orchestras in Germany, the U.S. and U.K. (Unpublished Doctoral thesis, City University London) This is the accepted version of the paper. This version of the publication may differ from the final published version. Permanent repository link: https://openaccess.city.ac.uk/id/eprint/7618/ Link to published version: Copyright: City Research Online aims to make research outputs of City, University of London available to a wider audience. Copyright and Moral Rights remain with the author(s) and/or copyright holders. URLs from City Research Online may be freely distributed and linked to. Reuse: Copies of full items can be used for personal research or study, educational, or not-for-profit purposes without prior permission or charge. Provided that the authors, title and full bibliographic details are credited, a hyperlink and/or URL is given for the original metadata page and the content is not changed in any way. City Research Online: http://openaccess.city.ac.uk/ [email protected] Models of Self-Governance and Workplace Democracy: A Comparison of Select Orchestras in Germany, the U.S., and U.K. Erin V. Lehman Dissertation submitted for the degree of Doctor of Philosophy in Arts Management to the City University, London Department of Arts Policy and Management June, 2001 Revised and resubmitted October, 2002 Table of Contents List of Exhibits p. iii List of Appendices p. iv Acknowledgements p. v Declaration p. vii Abstract p. viii Chapter One: Introduction 13. 1 Chapter Two: The Symphony Orchestra in Germany, Britain, and the U.S p. 10 Chapter Three: Literature Review and Previous Research P. 31 Chapter Four: Research Methods P. 48 Chapters Five to Eight: Presentations of Findings Chapter Five: The Colorado Symphony Orchestra P. 58 Chapter Six: The Orpheus Chamber Orchestra P. 85 Chapter Seven: The Berlin Philharmonic P.113 Chapter Eight: The London Symphony Orchestra P. 137 Chapter Nine: Discussion of the Findings P. 172 Chapter Ten: Conclusions and Future Research P. 203 Appendices P. 213 References and Bibliography P. 259 11 List of Exhibits Exhibit 1.1 List of Self-Governing Ensembles (by date founded).. ..... ......... 9 Exhibit 3.1 Summary of Research and Literature Relevant to This Thesis 46 Exhibit 7.1 Berlin Philharmonic Organizational Chart 127 Exhibit 8.1 LSO Organizational Chart 142 111 List of Appendices Appendix A Professional Problems of Symphony and Opera Musicians.. ...... 214 Appendix B Example of Project Description. 216 Appendix C Data Collection by Type and Frequency 218 Appendix D Player Survey 223 Appendix E Chronology of the DSO's Dissolution 230 Appendix F Detailed Provisions of the Colorado Symphony Model. .......... 232 Appendix G E-mail Exchanges with Key Members of the Colorado Symphony 235 Appendix H CSO Grant Letter............... ....... ........ .............. ................ 239 Appendix I Colorado Symphony Association Structure Study Group Minutes .241 Appendix J Orpheus Chamber Orchestra Season Schedule: 1997-1998 243 Appendix K Orpheus's Revised Vision Statement and Special Committee Recommendations...... ..... ..... ....... Appendix L Milestones in the History of the Berlin Philharmonic.....................250 Appendix M LSO Player Contract, Sample from 1993-94. ......... .....................252 Appendix N Excerpt from Draft LSO Stabilisation Funding Strategy..................256 iv Acknowledgements "No one pretends that democracy is perfect or all-wise. Indeed it has been said that democracy is the worst form of government except for all those other forms that have been tried from time to time in this world of ours." (Winston S. Churchill, 1947). For the past several years, I have been carrying around the above quotation, knowing that one day my dissertation would be finished and I could finally print out Churchill's famous words. I would have completed my personal quest to learn about the inner workings of self-governing orchestras and about that ever fallible-yet-formidable form of governance: democracy. This I have now done. In what has been a very long journey, I have been aided enormously by the hundreds of musicians, managers, trustees, union officials, trade association members, industry observers and other graduate students and scholars I have encountered across the U.S., overseas, and at Harvard University. All were generous in their willingness to discuss their ideas about or personal experiences with musician involvement and to debate the weaknesses and merits they saw in the self-governing model. Of those individuals I especially want to acknowledge, I begin by thanking my advisor at City University, Professor Patrick J. Boylan, who has tirelessly encouraged my ideas and helped me every step of the way, for which I am most grateful. His encyclopedic knowledge of the cultural sector is surpassed only by his enthusiasm for it. Professor J. Richard Hackman of Harvard University has also played a key role in this endeavor. From Richard, I have received limitless opportunity (and support) to test my own ideas, as well as, to learn from his theory of self-management. Professor Adam D. Galinsky, now of the Kellogg School of Management at Northwestern University, and formerly my fellow researcher at Harvard, has also been unfailing in his encouragement of my endeavors over the years. Jennifer Shephard of Harvard's Psychology Department has also been a faithful friend and colleague throughout. Haukur Hannesson and Robert Beale, both fellow research students at City University, now Ph.D.s, must be thanked for their periodic yet consistent offers of help in this work, including access to their own research methods and conclusions. Nor can I fail to mention Paul Judy and the Symphony Orchestra Institute (S01) for supporting my early research efforts, especially of the Berlin Philharmonic. Marilyn Scholl, Editor of SOI's Harmony, has been an indefatigable "cheerleader." And, I can never repay Lee Yeingst, former violist, and Richard B. Sayford, former trustee, both of the Colorado Symphony Orchestra, whose constant "tutoring sessions" and organizational updates via electronic communication were invaluable. Others to whom I am truly indebted include: Josè Bergher, cellist with the Orquesta Sinfonica Venezuela, Julian Fifer, founder and former president of Orpheus Chamber Orchestra, Clive Gillinson, managing director of the London Symphony Orchestra, Tom Hall, violinist of the Chicago Symphony Orchestra, Bernhard Kerres, consultant with Booz-Allen, Hamilton in Vienna, David Marcou, principal of The I Speech delivered November 11, 1947 on a Parliamentary bill defining the true purposes of democracy. In Halle, K. (1985). The Irrepressible Churchill. London: Robson Books, Ltd. V Berkshire Young Musicians Trust and formerly violinist and managing director of the London Philharmonic Orchestra, Frank Morelli, bassoonist with Orpheus Chamber Orchestra, Frances Saunders, former cellist with the London Symphony Orchestra, Professor David Schoenbaum of Iowa University's History Department who also made important comments on this draft, Jonathan Sherwin, bassoonist with the Cleveland Orchestra and formerly of the Colorado Symphony Orchestra, Hel!mut Stern, former concertmaster and Vorstand with the Berlin Philharmonic, Elmar Weingarten, Intendant with the Berlin Philharmonic, and especially Fergus McWilliam, hornist with the Berlin Philharmonic and chair of the Personalrat. To these individuals and the many not listed here, I am indeed and forever grateful. And, finally, I want to thank Dave Boccuti, Laura Bacon, and David Teller who helped me greatly in the 11 th hour of this process. I also want to note that this dissertation was made possible by having access to two libraries that represent the full spectrum of facilities in America: on the one hand, Harvard's Widener Library (with the largest holdings of any library in the country save the Library of Congress) and, on the other, the Osterville Public Library on Cape Cod (a most congenial setting, even though they had only a printer and not a single business book to offer). Between the two, those libraries saved me during the long and tedious writing-up phase—if for nothing more than by getting me away from my computer screen long enough to go out for a bit of fresh air! Erin V. Lehman Osterville, Massachusetts June, 2001 Revised and resubmitted: October, 2002 vi Declaration Permission is granted to the University Librarian to allow the thesis to be copied in whole or in part. The permission covers only single copies made for study purpose, subject to normal conditions of acknowledgment. Although this study developed after and as a result of the author's work on the Harvard University-Max Planck Institute's "Cross-national Study of Professional Symphony Orchestras," the author asserts that the greater part of the research and analysis for this thesis is her original work (see Chapter 1 and Chapter 9 for further details of this). vii City University: Department of Arts Policy and Management Doctor of Philosophy 2002 Erin Virginia Lehman Models of Self-Governance and Workplace Democracy: A Comparison of Select Orchestras in Germany, the U.S., and U.K. ABSTRACT This thesis is the result of the author's long-term interest in the inner workings of self-governing and other "high involvement" orchestra organizations. This interest was "sparked" by her work in the general