ORGANIZATIONAL CULTURE AND ITS UNDERLYING BASIC ASSUMPTIONS AS A DETERMINANT OF RESPONSE TO CHANGE: A CASE STUDY OF KWAZULU-NATAL'S CONSERVATION SECTOR, SOUTH AFRICA NYAMBE NYAMBE Submitted in fulfilment of the academic requirements for the degree of Doctor of Philosophy (Environment and Development) in the Faculty of Science and Agriculture, Centre for Environment and Development, University of KwaZulu-Natal. Pietermaritzburg 2005 i ABSTRACT This study was concerned with elaborating theory and informing practice about the process of managing change in organizations. It was premised on the implications of organizational culture and its underlying basic assumptions for strategy, particularly in terms of responsiveness and resistance to change. Harmony between the external environment and an organization's culture was postulated as a critical determinant of the rate of uptake and acceptance of new strategic directions in an organization. Drawing from organizational and critical social theories, past conservation efforts in KwaZulu-Natal were reinterpreted in the light of historical and contemporary developments. The theoretical contribution rests on exploring how basic assumptions, as the core of a culture, may be conceptualized and accessed to examine historically and culturally based meanings of conservation. The practical contribution relates to the need for mechanisms to explicitly address basic assumptions as the core of an organizational culture. Data collection and analysis were informed by the ideas of hermeneutic philosophy, Giddens' Theory of Structuration and Schein's framework of organizational culture. The main source of primary data was interviews that were tape-recorded, transcribed and analysed using a multi-stage process in data organization and interpretation. The analysis involved the identification of common themes and differences in opinion amongst the respondents. Data analysis was done with the help of Nvivo - computer software for qualitative research. The software did not effect the analysis, but assisted in organizing the interview transcripts for analysis purposes: facilitating easy storage, retrieval and querying. The findings revealed a temporal variance in the understanding and interpretation of the mission of conservation in KwaZulu-Natal. Respective executive leaders of the two erstwhile conservation agencies in KwaZulu-Natal were historically very influential in shaping the mission. For the present leadership, four basic assumptions emerged from the data: 'public funding defines who we are'; 'we are leaders in conservation'; 'we know our realities are changing' and 'we are conserving a great natural and cultural heritage'. 11 These assumptions reflect the various themes which the respondents discussed in respect of the present-day strategy processes in conservation in KwaZulu-Natal. Within and across these four assumptions, respondents expressed variable and sometimes contradictory meanings and interpretations. Differences were especially noticeable between the conservation sector's historical inclinations towards public service and its emergent commercial activities. Overall, the study demonstrated the variety of perspectives the respondents used to interpret their understanding and meanings of what the fundamental mission of conservation in KwaZulu-Natal ought to be. The findings highlight the need for those involved in strategic processes to base their activities, and their approaches to managing change, on the continual exploration of basic assumptions as the portal for the ideas, perceptions and beliefs that influence change. In matters of strategy, leaders should work with the prevailing organizational culture and its underlying basic assumptions, rather than develop the strategy and then attempt to deal with the basic assumptions and cultural support afterwards. Finally, the findings suggest that in all visioning and strategy development processes, whether in a conservation agency or some other organization, explicit analysis of assumptions is critical for securing support for, and reducing prospects of resistance to change. Among members of an organization, visions, missions and strategies are unlikely to be effectively internalized unless they accord with the assumptions they hold. This process requires explicit mechanisms for doing so, and this study highlights such mechanisms. Ill DECLARATION The work described herein was undertaken in the Centre for Environment and Development, University of Natal, Pietermaritzburg, under the Supervision of Professors Charles Breen and Robert Fincham at the Centre of Environment and Development, University of KwaZulu - Natal, Pietermaritzburg. I hereby declare that this is an authentic record of work and has not in its entirety nor in part, previously formed the basis for the award of any degree of this or any other University. Wherever use is made of others' work, it is duly acknowledged in the text. *+....Ap\...9:<5pk. Signed Date Nyambe Nyambe H_, bn^^U 'Uro 1 Signed Date Prof. Charles M. Breen t>S~ Signed Date Prof. Robert. J. Fincham iv ACKNOWLEDGEMENTS During the course of writing this dissertation, I have been much obliged to many people who provided time and support, good judgement, helpful suggestions, source material, encouragement, friendship and personal kindness. It is a pleasure for me to acknowledge the contributions of these people. I owe a great debt to my supervisors, Professors Charles Breen and Robert Fincham. I am also greatly indebted to the students and staff at CEAD for their support and encouragement. Kerry and Faith, your support over the years kept me going. Philippa McCosh deserves special mention for helping with transcribing and keeping me informed about developments at Ezemvelo KwaZulu-Natal Wildlife while in I was in the USA and Drummond Densham who provided me with reading material and was always available for discussions on his experiences in the former Natal Parks Board. To George Tembo and Blandine Umurerwa, I will always remain grateful for helping me with transport during the data collection phase. Spending a year at the University of Montana during the course of writing this dissertation allowed me to experience the personal kindness of the following: Wayne Freimund and Steve McCool and their families, Perry Brown and all the staff and graduate students in the College of Forestry with whom I had the opportunity to interact. Special thanks to Charles Besancon for lending me his bicycle while in Missoula, and Xolani Funda for keeping me company during the 'sleepless nights' in Missoula. To my parents, siblings, cousins and Kash, their love and support is immeasurable. Lastly, I thank the staff at Ezemvelo KwaZulu-Natal Wildlife, past and present, who gladly participated in the study, carefully explaining their perspectives on the challenges confronting conservation in KwaZulu-Natal and South Africa at large. To all the above and many others too numerous to mention, I am truly grateful. V ACRONYMS ANC African National Congress CBNRM Community Based Natural Resource Management CEAD Centre for Environment and Development CEO Chief Executive Officer DAEA Department of Agriculture and Environmental Affairs - KZN DEAT Department of Environmental Affairs and Tourism DNC Directorate of Nature Conservation EKZNW Ezemvelo KwaZulu-Natal Wildlife GEF Global Environmental Facility ICDP Integrated Conservation ad development projects IUCN The World Conservation Union KBNRM KwaZulu Bureau of Natural Resource Management KZN KwaZulu-Natal NPB Natal Parks Board VI CONTENTS ABSTRACT i DECLARATION iii ACKNOWLEDGEMENTS iv ACRONYMS v CONTENTS vi LIST OF APPENDICES ix LIST OF ILLUSTRATIONS ix CHAPTER 1: INTRODUCTION TO THE STUDY 1.1 Introduction 1 1.2 Problem statement, aim and objectives 6 1.3 Why South Africa and KwaZulu-Natal? 8 1.4 Study overview 9 CHAPTER 2: CONSERVATION'S CHANGING ENVIRONMENTAL CONTEXT AND ORGANIZATIONAL CULTURE 2.1 Introduction 10 2.2 Conservation's changing environmental context 11 2.2.1 Background to conservation's changing environmental context 11 2.2.2 Phases of southern Africa's conservation policies 13 2.3 Organizational culture-an overview 21 2.3.1 Research on organizational culture 22 2.3.2 Critical and postmodernist perspectives in organizational culture research 28 2.4 Organizational culture and conservation 30 2.5 Summary 34 CHAPTER 3: THEORETICAL AND CONCEPTUAL FRAMEWORK: HERMENEUTICS, CRITICAL THEORY AND BASIC ASSUMPTIONS 3.1 Introduction 35 3.2 Theoretical framework 36 vii 3.2. J Hermeneuticphilosophy 36 3.2.2 Critical theory 40 3.2.3 Giddens and the 'theory of structuration' 41 3.3 Conceptual framework 48 3.3.1 Schein's concept of culture 49 3.3.2 Schein's framework of culture 50 3.3.3 Schein on strategy and organizational culture 55 3.3.4 Schein on leadership and culture 62 3.3.5 Schein on culture and organizational learning 63 3.4 Implications for research 64 3.5 Summary 66 CHAPTER 4: RESEARCH SETTING AND METHODOLOGY 4.1 Introduction 68 4.2 Research setting: overview of the case 68 4.2.1 A brief history of formal conservation in KwaZulu-Natal 69 4.3 Research design 75 4.3.1 Case study approach 76 4.4 Sampling 79 4.5 Methods and data collection 80 4.5.1 Observations 81 4.5.2 Documentary review 82 4.5.3 Interviews 82 4.6 Data analysis and interpretation 87 4.6.1 Choosing excerpts for inclusion in the text 91 4.7 Summary 92 CHAPTER 5: LEADERSHIP AND BASIC ASSUMPTIONS IN KWAZULU- NATAL'S CONSERVATION SECTOR: AN HISTORICAL PERSPECTIVE 5.1 Introduction 93 5.2 The Natal Parks Board - Founding circumstances