REFLECTION IN ACTION: AN ENQUIRY INTO HOW CEOs LEARN TO LEAD AND LEAm TO LEARN Jiil Birch A thesis submitted in conforrnity with the requirements For the degree of Master of Arts Department of Aduit Education, Community Development and Counseling Psychology Ontario Institute for Studies in Education of the University of Toronto O Copyright by Ji11 Birch (2000) National Library Bibliothèque nationale m*m of Ca~da du Canada Acquisitions and Acquisitions et Bibliographie Services services bibliographiques 395 Wellington Street 395. rue Wellington OttawaON K1AON4 Otbwa ON KfA ON4 Canada Canada The author has granted a non- L'auteur a accordé une licence non exclusive licence dowing the exclusive permettant à la National Library of Canada to Bibliothèque nationale du Canada de reproduce, loan, distribute or sel1 reproduire, prêter, distribuer ou copies of this thesis in microform, vendre des copies de cetie thèse sous paper or electronic formats. la forme de microfiche/6lm, de reproduction sur papier ou sur format électronique. The author retains ownership of the L'auteur conserve la propriété du copyright in this thesis. Neither the droit d'auteur qui protège cette thèse. thesis nor substantial extracts kom it Ni la thèse ni des extraits substantiels may be printed or otherwise de celle-ci ne doivent être imprimés reproduced without the author's ou autrement reproduits sans son permission. autorisation. ABSTRACT REFLECTION IN ACTION: AN ENQUIRY INTO HOW CEOs LEARN TO LEAD AND LEARN TO LEARN A thrsis submitted in conformity with the requirements For the degree of Master of Arts Department of Adult Education, Comrnunity Development and Counseling Psychology Ontario Institute for Studies in Education of the University of Toronto Jill Birch Mile much research has focused on the functions, types. and models of enhip. few studies have explored the role that reflection plays in the professional and personal development of Chief Executive Officers. The purpose of this qualitative study was to determine if CEOs used reflection and if so. when. how and why it was used. This is a study about the how leaders lem to leam and how they leam to lead. Through a two phase interview process. the major themes identified were: development of self-knowledge as an impetus to take action: hmessing cumulative knowledge to enhance decision-making; development of reflective systems; and the roles played by tacit knowledge, confidence and fear. The findings provide interesting insight into CE0 leaming, growth and development. The study seeks to identiQ methods and stmtegies by which CEOs may merpropel themselves and their organizations into the great oppomuiities that await the reflective mind. ACKNOWLEDGEMENTS Much of my work in the not-for-profit sector has been blessed by working with ChieÎExecurive Oficen; i have been fortunate to witness the exhilaration of making a difference, the crafi of sustaining loyalty, the loneliness of the top position and the incredible responsibility that day in and day out, continues to inspire me to lrad, in rny own small way, with the courage and dignity 1 have so often wimessed. From the moment I cornrnenced studies at OISE in 1995,I knew that my research would set me on a course ro examine the ways that CEOs develop their leadership skills and learning abilities. I have been supported in so many ways by so many people and to these people, 1 owe so much: Drs. Ann Armstrong and Barbara Burnaby, my thesis supervisors. who inspired and encouraged me to go deeper and farther in my research than 1 ever thought 1 could. They taught me to trust the qualitative process and to trust myself: a phone call. a conference call, or an e-mail away, I always knew that 1 could reach out any tirne for their guidance, advice and support. Dr. Marilyn Laiken, my fiend and advisor in the OISE Masters Program! who always made time for me and provided academic guidance as I worked through my Iiteratue review and developed my thesis proposal. Dr. Marian Pitters, who originally encouraged me to enter the OISE program, and was always a sounding board, supporter and academic parnier. reviewing earlier drafts of my thesis. The eight Chief Executive Officers who were so generous with their time and keely shared their reflections, experience and leaniing. Without their suppon, this thesis would not have been possible. Carol Birch, who shared my joumey, painstakingiy read my drafis and provided her mal editorial excellence and counsel. III Supporthg my studies, al1 of those CEOs who encouraged me and made it possible with a special thanks to John Gustavson, President & CE0 of the Canadian Marketing Association and Diane Brisebois, President & CE0 of Retail Council of Canada. With thanks for their early encouragement and ability to keep me Iaughing: Patrick Pardoe, John Torella, Doug Jordan, Linda bfomson, Peter Fleming, John Williams. Ingrid Nomsh, Cori~eKovalsky, Rose Challenger, Jack Shand and my team at the Canadian Marketing Association. For rny farnily, who have provided me with more support and encouragement than any daughter, sister, aunt, niece or cousin could have ever hoped for. Finally, for my son Clayton, who wise before his years, always undentood how important this work was to me and has heard more about qualitative research. reflection and the learning methods of Chief Executive Officers than any 13 year old would ever want to know .. .yod re the best. Toronto, September, 2000. Table Of Contents LIST OF TABLES 3 LIST OF FIGURES 3 CHAPTER 1: INTRODUCTION 4 1.1 BACKGROUND AND FOCUS OF THE STUDY 1.2 PURPOSE OF THE STUDY 1.3 STATEMENT OF TKE PROBLEM 1.4 OVERVEW OF THE THESIS CHAPTER 2: LITERATURE REVIEW 10 2.1 REVIEW OF RELEVANT LITERATURE iN LEADERSHIP 2.2 DEFINITIONS OF LEADERSHIP 2.3 FUNCTIONS, TYPES AM3 MODELS 2.3.1. Functions of Leaders 2.32 Types of Leaders 7.3.3. Models of Leadership 2.4. PERSONAL AND PROFESSIONAL DEVELOPMENT 2.4.1. Persona1 Development 2.4.2. Competencies 2.1.3. Mastery 2.5. REFLECTION 5.1. Understanding the Role Penonality Plays in Leadership 2.52 SüMMARY OF AREAS EXPLORED IN PERSONAL DEVELOPMENT 2.6 PROFESSIONAL DEVELOPMENT 2.6.1. Competencies 2.6.2. Mastery 2.6.3. Organizational Developrnent 2.7. SUMMARY OF AREAS FOR EXPLORATION IN PROFESSIONAL DEVELOPMENT 2.8 CONCLUSIONS EMERGING FROM THE LITERATURE 3.0. REVIEW OF LITERATURE IN REFLECTION 3.1 Definition of Reflection 3.2 Fonns of Reflection 3.3 Relevance of Reflection 3 -4 Refl ection in Personal and Professional Development 3.4.1 Leamhg 3 -4.2 Problem Solving 3 -4.3 Self-Developrnent 3.5 SUMMARY OF AMAS FOR EXPLORATION IN REFLECTION AND LEADERSHIP CEUPT.ER 3: DESIGN AND LMETHODOLOGY 4.1 OVERVEW, NATURE OF INQüIRY 4.2 STUDY DESIGN 4.3 PARTICIPANT SELECTION 4.4 PARTICIPANT PROFILES 4.5 h'TERVEW PROCESS 4.6 DATA ANALYSIS 4.7 RELIABILITY AND VALJDIN 4.8 LIMITATIONS 4.9 SUMMARY CHAPTER 4: ANALYSIS OF THE FINDINGS PERTAIMNG TO INDIVIDUAL FIRST INTERVIEWS 5.0 INTRODUCTION 5.1 OVERVIEW OF INDNIDUAL FNDiNGS 5.2 Anne's Leadership 5.3 Bill's Leadership 5.4 Elizabeth's Leadenhip 5.5 Michael's Leadership 5.6 Paul's Leadership 5.7 Sonia's Leadenhip 5.8 Tom's Leadenhip 5.9 Valerie's Leadership 5.10 SWMARY OF VERTICAL ANALYSIS OF FIRST STAGE NTERVIEWS 5. L O. 1 Evolution of First Stage Emergent Theory 5.10.2 Category 1 : Evolution 510.3 Category 2: Reflection 5.10.4 Category 3: Leadenhip 5.1 0.5 Category 4: Professionai and Personai Development 5. f 1 SUMMARY: EMERGENT THEORY EXûM FIRST STAGE INTERVIEWS CHAPTER 5: ANALYSIS OF THE F'INDINGS PERTmGTO THEMES ERERGING FROM SECOND NTERVLEWS 149 6.0 INTRODUCTION 6. 1 Themes Reuiforced by Second Stage Interviews 6. 2 Self-Knowledge 6.3 Cumulative Leaming 6.3.1 Understandhg What Works and What Doesn't 6.4 Personaiized Re fiective Merhocis 6.5 Summary of Reinforcing Themes 6.6 New Themes Emerging fiom Second Stage Interviews 6.7 Tacit Knowledge and the Role of Instinct and Intuition 6.8 Fear and Confidence 6.9 SUMMARY OF NEW TKEMES CHAPTER 6: RESPONSE TO RESEARCH QUESTIONS 184 7.0 INTRODUCTION 184 7.1 RESEARCH QüESTION ONE - The role of reflection and its triggen as part of a CEO's professiond and persond developrnent 185 7.2 RESEARCH QUESTION TWO - Contributions that reflection has made to CEOs leadership abilities 190 7.3 RESEARCH QUESTION THREE - Conclusions that cmbe dnwn to support future professional and development interventions 202 CHAPTER 7: CONCLUSIONS AiYD RECOMMENDATIONS 212 8.0 SUMMARY 212 8.1. Do CEOs reflect as part of their professional and personal development? 312 8.2 CONCLUSIONS AND RECOMMENDATIONS 214 8.3 SUGGESTIONS FOR FURTHER RESEARCH 2 17 8.4 REFLECTTONS 219 APPENDICES A: Participant Consent B: Fim Individual interview Questions C: Second Individual InteMew Questions D: Thrmatic Organization of Code Categories List of Tables TabIe 1 OveMew of Leadership Functions 13 Table 2 Functional Approaches Used by CEOs in Leading Their Organizations 15 Table 3 Leadership Types 18 TabIe 4 Relationship between Decision Styles and MBTT Preferences 19 Table 5 Themes in Leadership Models 3 1 Table 6 Leadership ModeIs 22 Table 7 Leadership Personal and Professional Developrnent 26 Table 8 PearmanTsAdaptation of the Johari Window 34 Table 9 The Ways CEOs Lead 37 Table 10 Fonns of Reflection 44 TabIe 1 I Tailor-Made Reflective Experience 46 Table 12 Participant Profiles 60 Table 13 g~£3ucket"Categories - Fint Round of CE0 Inte~ews 69 Table 13 Impact of Critical Incidents in CEOsTYouth and/or as a Young Adult 130 Table 15 Male and Femaie CEOs' Views of uidependence and Interdependence 132 Table 16 Patterns of Reflective Behaviour