Luận án tiến sĩ các nhân tố ảnh hưởng đến sự sẵn sàng của cá nhân đối với thay đổi tổ chức

1 INTRODUCTION 1.1 Reasons of research topic Organizational change is inevitable Change can take place in many different sides This change can lead new situations that can cause instability, anxiety and stress for the organization and its members (Vakola et al., 2005) These negative reactions can also lead to the intention to leave job and look for a new work (Morrell, 2004) Opposite, the belief in organization, the support for organization and reputation of leader will lead to a positive attitude to change In the history of research, there has been much argument among practitioners and researchers about methods to develop individual attitudes and behaviors in order to adapt to organizational change (Bernerth, 2004, Rafferty and Simons, 2006, Holt et al., 2007, Elias, 2009) It demonstrates that the study of readiness for change is an interesting topic to explore in order to understand how change is successful According to Armenakis (1993) and Holt et al (2007), an individual's readiness for organizational change is one of the most important factors related to an organizational members' initial support for initiatives change In Vietnam, change is taking place in many organizations, both in the public and private sectors The pressure to change comes from both internal and external organizational factors, especially, in SOEs The SOEs are much larger in size (include capital and labor) than private enterprises or FDI enterprises However, the performance of SOEs is not commensurate with their size Equitization is considered as an important solution to improve firm’s outcome However, equitization often leads to major changes in strategic orientation, organizational structure (especially senior leadership) or remuneration policy, or application of modern management standards, … This has created a change context that both similar to change in other organizations around the world and it has also own characteristics that just unique to Vietnamese SOEs Therefore, research on readiness for organizational change in general, and research in equitized SOEs in particular, is an important study aimed at discovering new knowledge It is for the above reasons that the author chooses the research topic "Factors affecting individual readiness for organizational change" Objectives of research Firstly, based on theory background and study overview, to propose and test a research model on factors affecting individual readiness for change in equitized SOEs Second, to explore the level of individuals' readiness for organizational change in equitized SOEs and find out which factors are individual readiness for change is reflected Third, find out what factors affect the willingness of employees and managers to change their organization for employees and managers in SOEs undergoing equitization At the same time, to measure level and direction of the impact of these factors on readiness for organizational change Subject and scope of study Subject research is identified as: readiness for change and factors affecting an individual's readiness for organizational change Scope of study is in Vietnamese equitization SOEs, in the period from 2018 to 2020 Structure of study Apart from introduction and conclusion, thesis comprise of chapters, as: Chapter 1: Review of individual readiness for organizational change Chapter 2: Theoretical foundation of factors affecting individual readiness for organizational change Chapter 3: Research Methodology Chapter 4: Research results Chapter 5: Discussion of research results and proposes solutions to enhance individual readiness for organizational change CHAPTER 1: REVIEW OF INDIVIDUAL READINESS FOR ORGANIZATIONAL CHANGE 1.1 Review of organizational change First, research trends on levels of organizational change Many studies in the period 1980 - 1990 such as: Miller and Friesen, (1984), Dunphy and Stace (1988); Nadler and Tushman (1989); Gersick (1991), … argued that there are two levels of change in organizations, namely, gradual change (evolution change) and transformational change (revolutionary change) Second, research trends on the content of organizational change Many authors have studied change in terms of content, however, the most comprehensive and well-known work to date is the work of Leavitt (1965) According to Leavitt (1965), there are components (also known as variables) reflecting change content: objectives, structure, personnel and technology These four factors interact with each other and synergistic effect Third, research trends on the process of organizational change Based on Lewin's (1947) study of the three stages of change, many studies later have focused on understanding the stages of the organizational change process Schein and Edgar (1987) develop psychological mechanisms corresponding to each stage, Lippitt et al (1958) propose a seven-stage change process; Kotter (1995), Galpin (1996), and Armenakis et al (1999) also described multistage models for implementing change Finally, organizational change (OC) is for success With the learning organization perspective, OC refers to the role of individuals in the success of change Armenaki (1993); Weiner (2009); Rafferty et al (2013) argue that building an organization that always in a state of receptivity to change, or higher, readiness for change, is the best way for successful OC According to Harvard Business Essentials (2003), readiness for organizational change must be considered from the lowest level where each employee is motivated to change 1.1 Review of readiness for organizational change 1.1.1 Review of framework about readiness for organizational change The studies of Prochaska and DiClemente (1982), Morean et al (1998) use the TTM Trans theorical model, to consider the readiness for change Accordingly, the individual will go through stages to change a behavior Research by Metselaar (1997) refers to an individual's readiness for organizational change based on the theory of planned behavior (TPB) The readiness for change is reflected through behavioral intentions to support change However, Armenakis (1993) confirmed that readiness for organizational change is an antecedent psychological state of individual that leads to an individual's support or resistance attitude toward change Therefore, using just TPB theory in the study of individual readiness for organizational change is inadequate Armenakis (1993) and colleagues Holt, Harris, & Field (1999, 2003), Armenakis et al (2002) proposed to consider readiness for change in an integrated framework with four groups influencing factors, namely, content of the change, process of the change, context of the change and characteristics of involved individuals Content Attributes of the initiative being implemented Process Steps taken to implement the initiative Content Attributes of the initiative being implemented Individual Attributes Attributes of employees where initiative is implemented Beliefs = readiness Behaviors FIGURE 1: The Relationship Between Content, Process, Context, and Individual Attributes With Readiness 1.1.2 Review of readiness for organizational change Firstly, the research focuses on clarifying the concept of individual readiness for OC and its components Eby et al (2000) defined readiness for change as an individual's cognitive form According to research by Armenakis (1993), Cuningham et al (2002), Griffiths et al (2005), Holt et al (2007), … readiness for change reflects the individual's cognitive beliefs about the need to change and ability to implement change successfully However, when considering individual readiness as an individual's attitude towards organizational change, Rafferty et al (2013), argue that in addition to the cognitive aspect, there is affective factor Individual readiness for OC should be assessed by both cognitively and affectively Thus, the concept of individual readiness for change needs to be clarified in terms of the definition and components factors Second, the study of factors affecting the readiness of individuals for organizational change This content is presented in section 1.2.3 Third, studies on the outcomes of individual readiness for OC An individual's willingness to change often leads to a number of consequences, most of all is reducing resistance to change (Selt, 2008, Kwahk and Lee, 2015) Kim and Rousseau (2011), Week (2004) show that supportive change behavior and job performance are also outcome of readiness for change 1.1.2 Review of factors affecting readiness for organizational change Personal characteristics, including demographic characteristics, self-confidence, cultural origin, intelligence (IQ), emotional intelligence (EQ), are factors that influence attitudes towards organizational change in general and readiness for change in particular (Cordery et al., 1991, Eby et al., 2000, Vakola et al., 2004, El-Farra et al., 2012) However, based on the Five Big model, only locus of control has been shown to have an impact on an individual readiness for change Other personality traits (i.e extroversion, conscientiousness, agreeableness, or openness to change) have not been tested for impact on an individual readiness for change Change context factors, a number of factors such as management capacity, organizational culture, or the participation of individuals in organizational decisions, empowerment of subordinates, etc have been shown to affect individual readiness for organizational change (Hanpachern et al., 1998; Eby et al., 2000 Cunningham et al., 2002, Madsen et al., 2005, Rafferty and Simons, 2006, Bernerth and associates, 2007) In addition, the role of leadership (Shah, 2009), organizational culture (Haffar, et al., 2012), individual multiculturalism (Caliskan and Isik, 2016), are also confirmed to have an impact on willingness to change In recent works, researchers have measured the relationship between organizational justice and individual resistance to change (Brockner et al., 1994; Daly and Geyer, 1994; Paterson et al 2002, Foster, 2010) and commitment to the organization (Bernerth et al 2007) As assessed by Shah (2011), although recent studies have focused on exploring the role of organizational justice with OC, many studies have failed to measure the direct relationship between justice and the individual readiness for change Organizational justice is also a interesting topic research in Vietnam CHAPTER 2: THEORETICAL FOUNDATION OF FACTORS AFFECTING INDIVIDUAL READINESS FOR ORGANIZATIONAL CHANGE 2.1 Readiness for organizational change Armenakis et al (1993: 168) defined construct of readiness for change as an individual’s “beliefs, attitudes, and intentions regarding the extent to which changes are needed and the organization’s capacity to successfully undertake those changes” Before that, no author had ever given a clear concept of readiness for change at the individual level Research by Holt et al (2007) is considered to have clarified and more fully the construct of readiness for change (reviewed by Self (2007) and Choi1 and Wendy (2010)) Holt et al (2007) concerned readiness reflects the extent to which an individual or individuals are cognitively and emotionally inclined to accept, embrace, and adopt a particular plan to purposefully alter the status quo This definition suggests measuring an individual readiness for change It also shows that an individual readiness for change demonstrating both the cognitive and affective aspects 2.2 Theoretical framework about individual readiness for organizational change The readiness of individuals for organizational change is studied in relationship with four groups: Change content; context changes; change process and characteristics of the individual (Figure 1.1) In particular, the quantitative research model of Holt et al (2007) is that, in a group of personal characteristics, the authors choose the factors that reflect the rebelliousness, locus of control, general attitudes toward change in general, negative affect The group of organizational contexts that change includes factors of management trust and communication climate 2.3 Component factors of readiness for organizational change On the cognitive aspect, readiness for change expressed individual perceived beliefs about: The need to change, change is appropriate for the organization Senior management support for organizational change The individual's ability to implement change successfully The value of the individual is affected when the change takes place On the affective aspect, an individual readiness for change reflect feelings for organizational change to be implemented 2.4 Factors affecting individual readiness for organizational change Personal traits Many researchers have shown that individuals tend to react differently when they are faced with organizational change (Vakola et al., 2013, Oreg et al., 2011 Herold et al., 2011) 2007) Personal traits influence an individual attitude to organizational change Eysenck (1991) argued that people basically show three personality tendencies in pairs of introversion/extroversion and mental disturbance ((nervous, anxious, nervous, moody) - emotional stability (calm, emotionally balanced) Individuals with extraversion are often enthusiastic, agile, at the center of stories, have the ability to attract and persuade, while introverts are often timid, cold, closed Emotionally balanced person are very confident people, open to new things Demographic characteristics Individual characteristics such as age, gender, education level, years of service, etc Some personal characteristics have been shown to have no impact on an individual's willingness to change such as age, sex Trust in management Management trust reflects the individual's trust with capacity of senior management Management trust have been shown by Dunham (1989) to increase positive attitudes towards organizational change Miller et al (1994) also describe that management trust has an indirect positive effect on openness to change When employees trust in a manager's ability, they may feel more readiness Communication climate Putnam and Cheney (1985) defined communication climate within an organization related to the way communication behaviors are accepted A positive communication climate is demonstrated by openly sharing information, and accessing information is easily and validity by all members of the organization (Larsen and Folgero, 1993) The relationship between the communication climate in the organization and readiness for change has been shown to be significant in the study of Holt et al (2007) Organizational justice According to Bernerth et al (2007), changes, whether large or small, can lead to a situation where organizational resources will be redistributed Shah (2011) studying the changing context in Pakistan has found that equity plays a very important role, which can generate positive attitudes and behaviors towards change In terms of management, performance appraisal is an integral part of management activities This will no longer work if involved persons feel unfair (Murphy and Cleveland, 1991) Furthermore, if individuals feel that they are not being treated fairly, they will respond by changing their attitudes at work Characteristics of organization implementing change There may be a slight difference in readiness for change in organizations in service or new technology industries compared to traditional manufacturing enterprises In addition, Bouckenooghe and Devos (2007) shown that there are differences in the willingness to change between public and private sector firms In particular, the public sector with constraints on management mechanisms rarely has breakthrough changes, so from employee's perspective, a positive attitude to change is rarely shown It reminds author about different between equitized SOEs with controlling stake by state and firms that divest all state capital 2.5 Research model and hypotheses Personal traits Extraversion Emotional stability Change context Trust in management Communication climate Organizational justice H1+ H3+ H4+ H5+ H6+ Organization characteristics Scope of Activities State ownership Rate Readiness for organizational change Affective change readiness Appropriateness Management support Change efficacy Personal valence H2 + H7 H8 Control variable Age Sex Job position Figure 2.2 Proposed research model Source: Author proposal from overview and theoretical basis) CHAPTER RESEARCH METHODOLOGY 3.1 Research process Identify research topics Research questions Overview of the research and Theorical background in readiness for change Research gap; Concepts and relationship - Qualitative research (in-depth interviews) Research model Quantitative Research Pilot Scales Official Questionairs Oficial Quantitative Research Hypotheses testing result Discussion and proposal Figure 3.1 Research process (Source: compiled by the author) Step 1: Preliminary research Qualitative research: to test, screen and determine the relationship between the variables found in the theoretical model from the research review, therefore, propose the research model of the thesis; Develop scales adapted from previous studies Author conducted interviews with 10 individuals whose organizations were undergoing or preparing for a major change and experts, in which, business management (1) and human resources (2) In addition, developing a new scales to measure affective change factor (include items) Quantitative research pilot: to test the reliability of scales, eliminate inappropriate variables, especially, to test the reliability of newly developed scales (affective change) Author surveyed by questionnaire 120 individuals that were selected by convenience sampling method The obtained data were tested reliability of scales, including the component factors scale and influence factors in individual readiness for organizational change The reliability of scales is assessed through the Cronbach's Alpha value (>0.6) and correlation coefficient of total variable (>0.3) (Hair et al., 2010) Step 2: official quantitative research 3.2 Quantitative research The objective of quantitative research is to test hypotheses by using structural equation modeling (SEM) Sample: Respondents are individuals working in equitized SOEs Data collection was conducted in two ways, by internet and by questionnaire paper There were SOEs participating in the survey, of which SOEs divested 100% of state capital and SOEs were equitized for the first time, one is in the service sector and five are in the manufacturing sector The size of each organization is from 500 to 700 employees 364 respondents (72.65% response rate) completed the questionnaire Of these, males represented 47,3% of the sample, and the age of the average participant was 37.6 About job positions: supervisor (18.7%), direct employees and indirect employees (total 81.3%) The researcher used analytical techniques such as descriptive statistics, explore factor analytic EFA, Pearson’s correlations, confirm factors analytic CFA Finally, hypotheses were tested using the multiple regression analysis on SPSS and AMOS version 20 Standard of Test adapt to Hair et.al (2010) CHAPTER RESEARCH RESULTS 4.1 Organizational change status in equitized SOEs in Vietnam The process of equitization in Vietnamese SOEs has taken place very carefully and slowly In 2018, out of 136 enterprises and corporations that had to equitization, just 22 enterprises completed on schedule, 111 remained enterprises did not follow the schedule In comparison between SOEs after equitization in which the state still holds a controlling stake and SOEs divests entirely, the new strategy and future production plan does not set higher goals, structure is little changed (especially, senior leader), even keeping original Plans on the application of new production technology or new governance technology are rarely mentioned While most SOEs that divest hall state capital tend to apply new human resource management standards, evaluate performance through KPIs or a flexible salary scheme 4.2 Readiness for change status in equitized SOEs in Vietnam 3.5 2.5 1.5 0.5 Affetive change readiness Appropriateness Management support Change efficacy Personal valence 4.3 Exploratory factors analysis (EFA) 4.3.1 EFA with readiness change components Factor analysis was performed with Principles Axis Factor extraction, Promax rotation, KMO (Kaiser-Meyer-Olkin) and Bartlet's test method, to measure the compatibility of the survey sample The load factor is expected to be at the threshold of 0.5 The results of the first factor analysis, a total of 27 items converged on factors, in which item CMS3 uploaded with a negative load coefficient CAP2 and CAP4 also converge on a new factor CAP7 converges on change efficacy factors that not match theoretical basis (holt 2007) CAP9 and CEF2 not satisfy loading factor > 0.5 Performing the removal of the variables that not satisfy the test criteria in turn, the author conducts times of EFA analysis, the remaining observations converge on factors In which, CAP7 still converges with change efficacy factor Re-testing the reliability of each scale of readiness for change, author found that if CAP7 is removed from change efficacy factor, then Cronbach alpha increases from 0.735 to 0.750 In addition, two items, CAP8 and CAP9, if removed, will also improve reliability value of the scale 4.3.2 EFA with factors affecting readiness for change These are not new scales with research in Vietnam, the author uses EFA analysis for independent variables with Principles Component extraction, using Varimax rotation, using KMO test method Results of the first EFA analysis, observations converged on factors, in which items of process justice scale in the performance appraisal (PJ1,PJ2) converged on separate factor Review two items shown that they not reflect the same process justice as the remaining items, author decided to remove items After removing items, PJ1 and PJ2, both conditions of factor analysis are responded Items converged on factors as expected of proposed research model 4.4 Confirmatory factor analysis CFA 4.4.1 CFA with readiness change components The factor rotation matrix table of the 4th EFA analysis was entered into AMOS software to test CFA Table 14 shows index of model fit Most indicators are satisfied, RMSEA = 0.055 (0.05