HOW ORGANIZATIONS AND INDIVIDUALS ACHIEVE SIGNIFICANT AND SUSTAINABLE INCREASES IN SALES PERFORMANCE: A STUDY OF TRANSFORMATIONAL LEARNING IN SALES

ENVIRONMENTS by Michael L. Nordbye

HOWARD JACOBS, Ph.D., Faculty Mentor and Chair J. BRUCE FRANCIS, Ph.D., Committee Member CHERYL BULLOCK, Ph.D., Committee Member

Barbara Butts Williams, Ph.D., Dean, School of Education

A Dissertation Presented in Partial Fulfillment Of the Requirements for the Degree Doctor of Philosophy

Capella University August 2009

UMI Number: 3371724

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 Michael L. Nordbye, 2009

Abstract Transformative learning theory (TLT) is one of the most prominent adult learning theories in recent academic literature. The 10-phase perspective transformation model is a core component of the original study leading to the development of this theory, and yet the literature rarely references this model. This research examined the role of transformational learning and the perspective transformation model within sales environments designed as a qualitative case study involving 14 participants from the insurance and financial services industries. The results of this study indicate that the 10phase perspective transformation model is applicable for the professional development of salespeople. The perspective transformation model incorporates aspects of motivation, self-directed learning, use of role models, and identifying changes in performance. Critical thinking combined with content, process, and premise reflection enables a salesperson to reflect on their training, knowledge, performance, or perception of themselves. Specifically, premise reflection provides the link for TLT to engage sales training models. Traditional sales training pertains to the sequence of activities involved in the sales process. However, sales effectiveness is also dependent on the mental processes, knowledge, motivation and personality factors of salespeople, and research in these areas borrows concepts and approaches from cognitive psychology. This provides an opportunity to apply TLT to the aspects of sales training relating to the mental processes of salespeople. Cognitive sales scripts are mental representations of procedural knowledge involved in the sales process. These scripts represent meaning schemes in TLT. Therefore, the perspective transformation model would provide a methodology to alter inner attitudes resulting in changing external circumstances. Future theoretical

investigations may improve the practical applications of sales performance training by incorporating the constantly evolving learning theories. This would include identifying a method of transferring meaning schemes from highly effective to less effective sales people. Incorporating this model permits the individual salesperson to become more effective in managing their personal and professional development as well as having greater control of their development over the course of their career. Companies will benefit from increased revenue, reduce turnover costs, and effectively shift some of the training efforts to the individual salesperson.

Acknowledgments Capella University provided the ideal academic structure for my preferred learning style. I enjoyed the learning and overall educational experience immensely, and recognize that earning this degree may not have been realized if Capella did not exist. I greatly appreciate the guidance I received from Dr. Howard Jacobs, Dr. J. Bruce Francis, and Dr. Cheryl Bullock. Dr. Jacobs, my committee chair and mentor, persisted in contending with the peaks and valleys of my professional academic development. Most notably, he successfully brought me to realize the value of patience during the early phases of this process. Approaching the final phase, Dr. Jacobs helped me to understand the value of perseverance, not for the sake of completing the dissertation, but for the purposes of achieving my greater objectives. It was an honor to have Dr. Francis and Dr. Bullock work with me. One of the perhaps many misconceptions I had about the dissertation process was that it would permit me to selfishly interact with these respected professionals on a regular basis. The process actually included long periods of solitary work followed by review periods. Their assistance was exceptional. It would be most rewarding if our professional paths cross at some point, so I will continue to have the opportunity to gain the wisdom that has made them distinguished professionals in the field of education. Whether real or imagined, the pressures of dissertation work can get overwhelming at times. Jonathan Gehrz is a true professional, and because of his personal skills and devotion, he became a friend and advocate during this process. He helped me comprehend the journey so that, eventually, we were able to immediately find the humor rather than the frustration whenever there was a self-imposed difficulty. When the iv

pressures of the dissertation phase began to increase, I may have decided to not continue without Jons support and friendship. A special thank you must be expressed to the authors cited throughout this study for their works that served as the foundation for this dissertation, and for the knowledge I will carry forward. Additionally, a special acknowledgement goes out to all of the instructors and support staff of the Capella academic community for their efforts, which are so greatly appreciated, to assist me in this endeavor.

Table of Contents Acknowledgments List of Tables CHAPTER 1. INTRODUCTION Introduction to the Problem Background of the Study Statement of the Problem Purpose of the Study Rationale Research Questions Significance of the Study Definition of Terms Assumptions and Limitations Nature of the Study (or Theoretical/Conceptual Framework) Organization of the Remainder of the Study CHAPTER 2. LITERATURE REVIEW Introduction Transformational Learning Introduced Theories and Critical Thinking Sales Research Sales Training CHAPTER 3. METHODOLOGY Identifying Participants vi iv viii 1 1 1 2 3 4 6 6 8 11 12 13 14 14 16 46 51 60 66 66

Procedure Analysis CHAPTER 4. DATA ANALYSIS AND RESULTS Study Participants Background Questionnaire and Interview Results Summary CHAPTER 5. CONCLUSIONS AND RECOMMENDATIONS Summary and Discussion of Results Conclusions Recommendations for Future Research REFERENCES APPENDIX A. A CHARTER FOR ANDRAGOGY APPENDIX B. INTERVIEW QUESTIONNAIRE

72 86 90 90 91 92 116 119 119 129 136 139 146 148

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List of Tables Table 1. Number of Participants by Age Table 2. Participant Responses to Questionnaire Items Table 3. Tally of Responses 91 95 117

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CHAPTER 1. INTRODUCTION

Introduction to the Problem Transformative learning theory (TLT) is a comprehensive model that explains an adult learning process. This model comprised a 10-phase process leading to a perspective transformation. However, although TLT contains a very powerful and effective formula for personal development, it is not generally accessible for common use by those of the general population whom it would benefit the most. A practical method for expanding the use of TLT would be to continue validating the effectiveness of the 10-phase perspective transformation model in professional settings outside the academic environment. The objective of this work is to expand our knowledge of transformational learning by extending TLT research into the area of sales environments. Applying TLT to fields other than education provides an opportunity to broaden the perspectives of both researchers and practitioners, and to inform practice by developing new methods for training. Additionally, extension of TLT will create potential for discovering solutions that fill gaps in the knowledge base regarding the perspective transformation model. These solutions may include how to initiate the process of perspective transformation, ensure a successful outcome, or may identify catalysts to speed the process.

Background of the Study Perspective transformation is a core process of TLT, but has not been as prominent in the literature when compared to the general discussions of transformational 1

learning. While there may not be one method that will provide a common solution for all crises faced by adults, TLT provides a comprehensive, coherent, and unified model that offers effective solutions for many of lifes most difficult challenges. The perspective transformation model of TLT provides a valid process to enable individuals to change external environments by altering the inner attitudes of their minds. This would make a significant difference in the personal and professional development arenas because rather than people simply being told that they can change their situations, they can be provided with a method to accomplish the change. Professional salespeople are uniquely representative of individuals who are solely responsible for determining their own career success. Additionally, few have the skill, background, and interest to search out and read primary scientific source materials themselves. If we look at a salesperson in terms of sales skills and personal abilities, then sales training affects a change in the sales skills aspect, while the transformational learning model produces a change in the person. The purpose of this study was to focus specifically on validating the efficacy of transformational learning in a new environment. The sales profession was selected because it offers an environment in which results can be quantified, and with other factors held constant, the explanatory factor for significant improvements can be linked to transformations of the salesperson.

Statement of the Problem TLT is a comprehensive, idealized, and universal model for adult learning consisting of the generic structures, elements, and processes of adult learning, as 2

proposed by Mezirow (1994b, p. 222). Transformational learning, as a foundational adult learning theory, requires more extensive and validated applications in various settings. This study seeks to answer the question, What is the role of the TLT perspective transformation process in the professional life of salespeople confronted with a disorienting dilemma such as a challenging economy?

Purpose of the Study Creswell (2005) stated, Research is a process of steps used to collect and analyze information in order to increase our understanding of a topic or issue (p. 3). This study focused in greater depth on Phases 3, 6, and 7 of the perspective transformation model, which comprise processes for critical thinking, and informal or self-directed methods of adult learning. These phases are a critical assessment of assumptions (Phase 3); planning a course of action (Phase 6); and acquiring knowledge and skills for implementing ones plans (Phase 7). Creswell (2005, p. 4) also stated that research contributes to our knowledge base by addressing gaps in knowledge, replicating knowledge in new groups, expanding knowledge, broadening our perspectives, or informing practice. This research has the potential of contributing to each of these areas to some degree. Furthermore, this work expanded our knowledge about transformational learning by extending the research into the area of sales environments. Conducting a study of transformational learning in sales environments fills a void in the literature by testing past results with new participants, expanding research into new practices, and developing new ideas that will guide practice in the process. Through this process, the added benefits of discovering solutions that fill 3

gaps in the knowledge base provide an opportunity to broaden perspectives of both researchers and practitioners and, most of all, to inform practice by developing new methods for sales training.

Rationale Taylor (2000) suggested that a third direction for research should be in the area of strategies for fostering transformative learning (p. 318). He also stated that designs of research need to be more innovative as well looking beyond a basic phenomenological approach (p. 323). This research on the application of transformational learning theory (TLT) in sales environments met several of the suggestions proposed by Taylor. Within the 10-phase model leading to a perspective transformation, it is implicit that selfdirected learning and critical thinking are employed. How and to what extent these factors are present will further the development and practice of using TLT in diverse environments. Making these factors explicit is also in accordance with the previous works of Knowles (1975, 1978) and Brookfield (1991). Knowles (1978) identified key assumptions about adult learners, which were attributed directly to the work of Lindeman (1926/1961), supported by later research, and which eventually became the foundation of modern adult learning theory. Knowles, Holton, and Swanson (2005, p. 4) presented the current model of andragogy based on six core principles. These are based on the learners (a) need to know, (b) self-concept, (c) prior experience, (d) readiness to learn, (e) orientation to learning, and (f) motivation to learn. These factors are considered as relevant aspects of adult learning, and have been

accepted by the academic community. Their relevance is still observable in practice within settings such as the classroom, work environments, or informal learning situations. Furthermore, Knowles (1975) described how self-directed learning is actually put into practice: In its broadest meaning self-directed learning describes a process in which individuals take the initiative, with or without the help of others, in diagnosing their learning needs, formulating learning goals, identifying human and material resources for learning, choosing and implementing appropriate learning strategies, and evaluating learning outcomes. (p. 18) Critical thinking involves uncovering assumptions and then evaluating their validity. Investigating assumptions is a fundamental aspect of the perspective transformation model. In fact, assumptions are so common and occur so frequently that Brookfield (as cited in Mezirow, 2000, p. 19) defined three categories of assumptions: paradigmatic, prescriptive, and causal. Paradigmatic assumptions structure the world into fundamental categories and are the most difficult to recognize as coming from ourselves. Prescriptive assumptions are what we think ought to be happening in a specific situation. Causal assumptions are the easiest to identify because they form our opinions of how the world works, and may be changed. The very nature of assumptions makes critical thinking a difficult competency to develop, especially on our own. Brookfield (1991, p. 7) identified four major components of critical thinking: (a) identifying and challenging assumptions, (b) challenging the importance of context, (c) imagining and explore alternatives, and (d) reflective skepticism. Critical thinking models are used in educational settings in order to develop higher order thinking skills, and relevant for reviewing literature. Although it is common in strategic planning and problem solving sessions in business environments, it is not 5

always readily identifiable outside of formal learning or planning programs. However, it is a critical component reviewed in this research study.

Research Questions This proposed research study will address the following research questions (RQs): 1. What is the role of the TLT perspective transformation process in the professional lives of salespeople who are confronted with a disorienting dilemma such as a challenging economy? 2. What role does self-directed learning and critical thinking play in the personal development of these salespeople? 3. How can transformational learning theory be used to improve the effectiveness of sales training?

Significance of the Study This study has the potential for adding validity to the practical use of transformational learning theory (TLT) as a model for change by significantly adding to the knowledge base of information on how helpers can assist individuals in moving though the phases composing perspective transformation. While the field of adult learning is continually enhanced through the development of practices outside the academic environment, prior to this research there was no study of the use of TLT within sales environments. According to Training magazines annual report for 2007 (Training 2007 Industry Report, 2007), U.S. organizations spent $58.5 billion for training in 2007 6

(including payroll and training budgets), with $16.3 billion going for external learning products and services. These numbers are up 4.8% and 3.1%, respectively, from the 2006 figures of $55.8 billion and $15.8 billion. The financial services industry accounted for 18% of the money spent. Overall, the expenses allocated to various program areas went first toward management and supervisory training, at 15%, followed by sales training, at 13%. Forty-four percent of the organizations that participated in the study and data collection about training reported that increasing effectiveness was a top priority, followed by reducing costs and measuring impact, at 29% and 28%, respectively. This research may provide the training industry with a validated model to develop successful programs by focusing on critical learning areas. Corporations will have the capability of achieving sustainable growth by effectively managing training programs. Salespeople will also have a model to assist them to achieve an improved quality of life, while minimizing the frustration and anxiety of attempting to improve their well-being through trial-and-error methods. Phillips (2005) pointed out how the concept of human capital has been used by economists going back to Adam Smith. Nobel Prizes have been awarded to economists specializing in human capital theory, determining how economic benefits are achieved by investments in people. Phillips suggested that a results-based policy for human capital should include programs linked to specific business needs, assessment of performance, specific objectives for behavior and business impact, and an environment prepared to support implementation (p. 151). Common human capital measures include employee attitudes, consisting of employee satisfaction, organizational commitment, and employee 7

engagement. These all contribute to workforce stability, including turnover and termination, tenure, and longevity (p. 178). Furthermore, Phillips contended that one of the most significant ways for companies to achieve competitive advantages is through their workforce. Conducting this study in the sales industry has the potential of producing beneficial outcomes on many levels. Businesses are always searching for validated methods to increase revenues. The training industry improves by having validated programs that produce an attractive return on investment. Most important, though, may be the benefit derived by salespeople, who struggle through enormous periods of frustration in an attempt to barely get by, or who struggle to improve the quality of life for their families.

Definition of Terms Definitions of key terms used in the study follow. Communicative learning. Communicative learning refers to understanding what someone means when they communicate with you. This understanding includes becoming aware of the assumptions, intentions and qualifications of the person communicating (Mezirow, 2003, p. 59). Critical reflection. Assessment of the validity of the presuppositions of ones meaning perspectives, and examination of their sources and consequences (Mezirow, 1990, p. xvi). Critical self-reflection. Assessment of the way one has posed problems and of ones own meaning perspectives (Mezirow, 1990, p. xvi). 8

Discourse. Used here to refer to that special kind of dialogue in which we focus on content and attempt to justify beliefs by giving and defending reasons and by examining the evidence for and against competing viewpoints. Discourse is central to human communication and learning (Mezirow, 1994b, p. 225). Disorienting dilemma. According to Mezirow (1978b), There are certain challenges or dilemmas of adult life that cannot be resolved by the usual way we handle problemsthat is, by simply learning more about them or learning how to cope with them more effectively. Life becomes untenable, and we undergo significant phases of reassessment and growth in which familiar assumptions are challenged and new directions and commitments are charted. Such dilemmas are commonplace in adult lives, but some are more dramatic than others. (p. 101) These are also commonly referred to as life crises. Emancipatory education. An organized effort to precipitate or to facilitate transformative learning in others (Mezirow, 1990, p. xvi). Habit of mind. A set of assumptionsbroad, generalized, orienting predispositions that act as a filter for interpreting the meaning of experience. Some varieties of habits of mind include Sociolinguistic, Moral, Epistemic, Philosophical, Psychological, and Aesthetic (Mezirow, 2000, p. 17). Instrumental learning. A learning paradigm that is about controlling and manipulating the environment, with emphasis on improving prediction and performance. Instrumental learning centrally involves assessing truth claimsthat something is as it is purported to be (Mezirow, 2003, p. 59). 9

Learning. Understood as the process of using a prior interpretation to construct a new or revised interpretation of the meaning of ones experience as a guide to future action (Mezirow, 2000, p. 5). Meaning perspective. The structure of assumptions that constitutes a frame of reference for interpreting the meaning of an experience (Mezirow, 1990, p. xvi). A meaning perspective refers to the structure of cultural assumptions within which new experience is assimilated toand transformed byones past experience. It is a personal paradigm for understanding ourselves and our relationships (Mezirow, 1978b, p. 101). Perspective transformation. The emancipatory process of becoming critically aware of how and why the structure of psychocultural assumptions has come to constrain the way we see ourselves and our relationships, reconstituting this structure to permit a more inclusive and discriminating integration of experience and acting on these new understandings. It is the learning process by which adults come to recognize their culturally induced dependency roles and relationships and the reasons for them, and by which they take action to overcome them (Mezirow, 1981, pp. 67). Point of view. A habit of mind becomes expressed as a point of view. A point of view comprises clusters of meaning schemessets of immediate, specific expectations, beliefs, feelings, attitudes, and judgmentsthat tacitly direct and shape a specific interpretation and determine how we judge, typify objects, and attribute causality. Meaning schemes commonly operate outside of awareness. They arbitrarily determine what we see and how we see it, cause-effect 10

relationships, scenarios of sequences of events, what others will be like, and our idealized self-image. They suggest a line of action that we tend to follow automatically, unless brought into critical reflection (Mezirow, 2000, p. 18). Reflection. Examination of the justification for ones beliefs, primarily to guide action and to reassess the efficacy of the strategies and procedures used in problem solving (Mezirow, 1990, p. xvi). Reification. The apprehension of human phenomena as if they were beyond human agency, like laws of nature (Mezirow, 1981, p. 10). Transformational learning. According to Mezirow (2000), The process by which we transform our taken-for-granted frames of reference to make them more inclusive (meaning perspectives, habits of mind, mind-sets), discriminating, open, emotionally capable of change, and reflective so that they may generate beliefs and opinions that will prove more true or justified to guide our action. (pp. 78)

Assumptions and Limitations There is an assumption that a common process can be identified for salespeople who experience a significant increase in sales over previously established production levels. Transformational learning is assumed to offer an explanatory framework for this process. Because the sample for this study is limited, results may not be generalizable to all salespeople across all industries.

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In the event that transformational learning theory (TLT) is determined to be an explanatory model, it may only be a naturally occurring process, rather than a process that can be initiated by a third party. The Likert scale survey is presumed to be a valid and reliable instrument for collecting the data for this study.

Nature of the Study (or Theoretical/Conceptual Framework) This study employed a qualitative methodology designed as a bounded case study to determine how and to what extent the perspective transformation model may be applied by salespeople. Creswell (2005) explained that the term bounded means that the case is separated out for research in terms of time, place, or some physical boundary. This case study research meets the definition of bounded as it includes individual salespeople in particular companies from predetermined industries. Gall, Gall, and Borg (2007, p. 447) described the case study in general as one of the most widely used methods in qualitative research, representing a basic form of qualitative research to study almost any topic or type of phenomenon. Furthermore, they define case study research as (a) the in-depth study of (b) one or more instances of a phenomenon (c) in its real-life context that (d) reflects the perspective of the participants involved in the phenomenon. Considering this list, case study is a plausible method for determining how and to what extent transformational learning may be applied in the professional development of salespeople. This methodology also meets Yins (2003, p. 31) definition of a case study being a research strategy used to increase our knowledge of individual, group, organizational, social, political, and related phenomena. This would 12

include theories of individual development, cognitive behavior, personality, learning, individual perception, and interpersonal interactions. The data collected through the interviews applies in some regard to each of these categories.

Organization of the Remainder of the Study The remainder of this study includes chapters 2 through 5. Chapter 2 is a literature review consisting of discussions of literature pertaining to transformational learning, informal and self-directed learning, critical thinking, and sales training. Chapter 3 describes the research methods that will be used for this qualitative case study, including the study design, data collection procedures, ethical issues, validity, and a preliminary overview of analysis techniques. A presentation and analysis of the data, accompanied by the results of this study, are presented in chapter 4. The summary, conclusions, and recommendations for future research are discussed in chapter 5.

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CHAPTER 2. LITERATURE REVIEW

Introduction Over 30 years ago, Mezirow (1978a) introduced transformative learning theory (TLT) as a comprehensive model to explain the process of adult learning. This model comprised a 10-phase process leading to a perspective transformation. Mezirow contended the major theoretical finding of his study was the identification of perspective transformation as the central process occurring in personal development (p. 7). However, although TLT contains a very powerful and effective formula for personal development, it is not generally accessible for common use by those of the general population whom it would benefit the most. Taylor (2000) conducted a thorough analysis of the research on TLT, and one of his many conclusions was that the discussion has resided predominantly in a theoretical domain (p. 286). A practical method for expanding the use of TLT is to continue validating the effectiveness of the 10-phase perspective transformation model in professional settings outside the academic environment. The objective of this work is to expand our knowledge of transformational learning by extending TLT research into the area of sales environments. As Creswell (2005, p. 4) stated, research contributes to our knowledge base by addressing gaps in knowledge, replicating knowledge in new groups, expanding knowledge, broadening our perspectives, and informing practice. By applying TLT to other fields, an opportunity arises to broaden the perspectives of both researchers and practitioners and to inform practice by developing new methods for training. Additionally, extension of TLT will create potential for discovering solutions that fill gaps in the knowledge base regarding 14

the perspective transformation model. These solutions may also include how to initiate the process of perspective transformation, ensure a successful outcome, or identify catalysts to speed the process. Providing individuals with the ability to design future conditions for their lives would be very beneficial considering the extreme changes human beings experience. This mechanism would provide for greater control and direction to offset the effects of rapidly changing external conditions. As people struggle to adapt to change, they may be bombarded with feelings ranging from extreme duress to ecstasy. They need a process to follow that will help them adapt successfully to changing conditions, while also giving them the ability to create the future directions of their lives. Markos and McWhinney (2003) further validated the growing social need for TLT. They suggested that a number of societal and global trends . . . converge to support the current interest in and development of [transformational learning] (p. 5), including the increasing gap between rich and poor and the increasingly stressful and competing demands of work, consumption, family, and community, including trends toward self-employment and having multiple careers across the life span. Most important, perhaps, Markos and McWhinney noted the growth of knowledge in society and societys search for greater meaning in work and life. Furthermore, as goal-directed beings, people have an innate desire to create improved situations for a better quality of life. Mezirow (1978a, p. 11) asserted that the search for meaning is so much a sine qua non of the human condition that we move as consistently as we can toward perspectives that are more inclusive and discriminating and that integrate our experiences. William James (n.d.), the influential American 15

psychologist, profoundly stated, The greatest revolution of our generation is the discovery that human beings by changing the inner attitudes of their minds can change the outer aspects of their lives. At the same time, if it is possible for human beings to change the outer aspects of their lives by changing the inner attitudes of their minds, society deserves to have this knowledge, along with readily available access to a definitive process to accomplish this objective. A methodology should be developed, validated, confirmed, and be made readily available to everyone. Once this methodology is made available, individuals will have the choice to take specific action to improve their present or future conditions. The notable psychologist Carl Jung (1958) may also have known very well about the phenomenon of self-change: Everyone knows the futility of preaching about things that are desirable, yet the general helplessness in this situation is so great, and the need so dire, that one prefers to repeat the old mistake instead of racking ones brains over a subjective problem. Besides, it is always a question of treating one single individual only and not ten thousand, where the trouble one takes would ostensibly have more impressive results, though one knows well enough that nothing has happened at all unless the individual changes. (p. 108) Freedom is perhaps one of the most sought after human rights, especially in the United States. The greatest freedom of all may be the freedom an individual has to choose and then create his or her own reality by learning to alter the internal perspectives of his or her mind and thus change external circumstances.

Transformational Learning Introduced Mezirow (1978b) may have realized the root of the problem, and discovered a corresponding solution, when he wrote, A cardinal dimension of adult development and the learning most uniquely adult pertains to becoming aware that one is caught in ones 16

own history and is reliving it (p. 100). However, identifying this pattern may be problematic, and actually changing the future pattern requires some assurance that a model for transformation will actually bring about the intended results. Of course, a successful remedy would be more probable if an individual were aware of TLT and were assured that it would offer a validated solution for the individuals dilemma. Mezirow expressed the solution as a process of perspective transformation involving a structural change in the way we see ourselves and our relationships (p. 100). Similarly, Jung (1958) must have also realized that learning could solve the dilemma of breaking free from past actions to achieve personal change; he wrote, Nothing estranges man more from the ground plan of his instincts than his learning capacity, which turns out to be a genuine drive towards progressive transformation of human modes of behavior (p. 80). Although the notion that individuals have the ability to change their present circumstances is widely proclaimed, the solution for accomplishing this objective is not readily available, even though it may have already been discovered. Taylor (1994, 1997, 1998, 2000) conducted a thorough analysis of the research on TLT. He later stated that in the twenty years since transformative learning theory emerged as an area of study in adult education it has received more attention than any other adult learning theory, and it continues to be of interest (Taylor, 2000, p. 285). However, one of his conclusions was that the discussion had been primarily theoretical, with most of the information occurring in the form of uncirculated dissertations in university libraries with little attention offered from an empirical perspective. This situation can be changed: TLT can be made available by validating its effectiveness and

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spreading its discourse outside the academic community. Furthermore, it may be the responsibility of educators familiar with this learning theory to accomplish this task. It is also important to recognize that individuals involved in the process of transformational learning may need a great deal of support from others. When TLT is applied, the journey of transformational learning can be very challenging, with the threat of not reaching a successful completion. According to Mezirow (1981), although one does not return to an old perspective once a transformation occurs, this passage involves a difficult negotiation and compromise, stalling, backsliding, self-deception and failure are exceedingly common (p. 8). Therefore it is imperative for educators, trainers, and consultants who are familiar with this work to assume the responsibility and professional obligation to become facilitators or professional helpers in the process of transformation. In addition to the difficulty of consistently moving toward the goal of a new perspective, significant emotional challenges are also encountered in TLT. Mezirow (2000) stated that transformative learning, especially when it involves subjective reframing, is often an intensely threatening emotional experience in which we have to become aware of both the assumptions undergirding our ideas and those supporting our emotional responses to the need to change. (pp. 6-7) Although there is an overwhelming need for TLT to be made available to the general population, the process requires facilitators to stand with participants to provide the encouragement and professional assistance participants need to follow through with this method of personal development. Mezirow (1971, 1978b, 1981) suggested a unifying theory to guide the practice of adult education and subsequently proposed transformational learning theory (TLT). His work sparked spirited debates in the journal Adult Education Quarterly throughout the 18

1980s, with many of these exchanges continuing to the present. Many scholars and practitioners have joined the conversation, while also carrying TLT down many new paths. Two of the most significant developments in TLT have been the introduction of the annual National Conference on Transformational Learning, from 1998, and the quarterly publication of the Journal of Transformative Education (JTE), first published in 2003. As editors of JTE, Markos and McWhinney (2003) stated that the journal is not just another journal of education; rather, JTE is the journal of another education (p. 4). Since the journals inception, the myriad articles covering a wide array of related topics and related research have confirmed this statement. Merriam (2001) declared that there is no single, comprehensive adult learning theory, and there probably never will be, considering the complexity and dependence on individual context of the subject. Although TLT may not be crowned as the unifying theory of adult education, it has developed into one of the most prominent and extensively researched theories proposed. However, all of the attention paid to TLT by researchers and educators since its discovery may have produced the need for researchers to add something new to the theory, rather than finding ways to build on the theory and expand the practice of what has already been discovered. Perspective transformation is a core process of TLT, but has not been as prominent in the literature when compared to the general discussions of transformational learning. TLT originated as Mezirow (1978a, 1978b) and his associates conducted a national study of women who returned to college to participate in specialized reentry programs. A grounded theory study was conducted with 83 women using structured interviews. These women were involved in 12 programs in New York, New Jersey, 19

California, and Washington State, with 50 alumnae of the programs, and with the professionals operating these and similar programs on 24 additional campuses (Mezirow, 1991a, p. 168). However, TLT is clearly not limited to women (Mezirow, 1978a, p. 55), a claim that can be verified by considering the numerous research studies on TLT conducted over the years that have included both men and women, none of which suggested that TLT is gender-specific. Through his research, Mezirow (2000) introduced a process of personal development comprising 10 phases, which he termed perspective transformation: 1. A disorienting dilemma 2. Self-examination with feelings of fear, anger, guilt, or shame 3. A critical assessment of assumptions 4. Recognition that ones discontent and the process of transformation are shared 5. Exploration of options for new roles, relationships, and actions 6. Planning a course of action 7. Acquiring knowledge and skills for implementing ones plans 8. Provisional trying of new roles 9. Building competence and self-confidence in new roles and relationships 10. A reintegration into ones life on the basis of conditions dictated by ones new perspective. (p. 22) Mezirow (1994b, p. 222) proposed TLT to be a comprehensive, idealized, and universal model consisting of the generic structures, elements, and processes of adult learning. If TLT is to survive as a foundational learning theory, it requires more extensive and validated applications. The literature review will detail many works by scholars and critics of TLT, including proponents (Brookfield, 2000; Merriam, 2001; Merriam & 20

Caffarella, 1991), critics (Clark & Wilson, 1991; Collard & Law, 1989; Tennant, 1994), and a critical proponent (Taylor, 1997, 2000). The almost insurmountable challenge faced by the academic community to unanimously accept and recognize a specific unifying theory, as described by Merriam (1987), should not limit the real-world applications of the theory. Human beings are in need of resources that will enable them to solve some of lifes most perplexing problems. They have the daunting task of sorting through the overwhelming profusion of personal and professional development books, seminars, counselors, and self-help products. In fact, Houle (1984, p. 191) emphasized that individualized self-teaching is constantly being rediscovered, and in civilizations with the greatest advances and resources, the essential problem is wise choice. While there may not be one method that will provide a common solution for all crises faced by adults, TLT provides a comprehensive, coherent, and unified model that may offer effective solutions for many of lifes most difficult challenges. Similarly to James in the early 1900s, Jung (1958) recognized that individuals have the potential for influencing their environment: I do not mean by persuading or preachingI am thinking, rather, of the well-known fact that anyone who has insight into his own actions, and has found access to the unconscious, involuntarily exercises an influence on his environment (p. 109). Now, over 50 years later, the perspective transformation model of TLT may offer a valid process to enable individuals to change external environments by altering the inner attitudes of their minds. This would make a significant difference in the personal and professional development arenas because rather

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than people simply being told that they can change their situations, they can be provided with a method to accomplish the change. However, at least two monumental challenges must be overcome before TLT can be successfully introduced to environments outside the academic world. First, the term transformation has become so popular among the ever-growing arenas of change efforts, personal and professional development, and business that it is easy for people to assume that they already understand the model and its intended outcomes. Brookfield (2000) presented a concern regarding the misuse of the term transformative: The word transformativewhen indiscriminately attached to any practice we happen to approve ofthereby loses any descriptive or definitional utility (p. 139). It is easy to understand how people would automatically assume that they understand the concept of transformational learning by simply combining commonly used definitions for learning and transformation. The second major hurdle is getting the actual 10-phase model of perspective transformation popularized in actual practice. Furthermore, it will be extremely difficult to put this 10-phase model into practice when it is rarely mentioned in the literature. Outside of Mezirows writing, and often in his articles, this model is not included in the text. It may be that scholars assume readers familiarity with the theory and therefore do not find it necessary to include it in their writing. However, most authors do not even include the actual model, even when it appears in closely related disciplines such as human resource development, for example, in the work of Swanson and Holton (2001), who stated, It is only through critical reflection that emancipatory learning occurs and enables people to change their lives at a deep level (p. 171). This is clearly a reference to 22

the work of Mezirow; however, the actual model does not appear in Swanson and Holtons text. Because the model is not referenced more prominently, it will not gain the attention needed for more widespread practice. Furthermore, Expanding the Boundaries of Transformative Learning, a contributed volume edited by OSullivan, Morrell, and OConnor (2002), included 20 essays by different authors. The 10-phase perspective transformation model did not appear once. Only one author even mentioned Mezirow, and that was a very brief citation spanning two paragraphs. There is no doubt that TLT is expanding; however, it may be at risk of doing so at the peril of its transformative roots, which could be left behind to wither. Swanson and Holton (2001) also recognized that it is easy to see that transformational change at an organizational level is not likely to happen unless transformational change occurs at the individual level through some process of critically challenging and changing internal cognitive structures (p. 170). There is a resounding need for this model in mainstream society. Transformational learning holds the promise of producing significant results for improving the quality of life for the general population. There is no clear rationale for keeping it contained within the academic community. Also, broadening the application of TLT to diverse environments increases the opportunity for the model to be refined so that it might eventually be understood and practiced outside of theoretical frameworks. Implicit in TLT is the notion that transformational learning occurs in positive directions for the individual. It usually describes instances in which the individual experiences an outcome that places him or her in a better position than the individual was in prior to the disorienting dilemma. However, research could also investigate if 23

transformational learning can occur along a continuum. At the opposite end of the spectrum would be the downward spiral traveled by many individuals in society. For example, a drug addict who has learned to live for the next fix and is possibly homeless as a result of this behavior may have experienced a negative path of transformational learning. A disorienting dilemma may have evolved that prompted the addict to search out new friends as part of an unhealthy solution. Although transformational learning in the recovery process has been researched, there is an opportunity to determine if transformational learning also applies to negative consequences such as the downward path that some people travel to arrive in prison or the cases of leaders prosecuted for crimes in governmental and business dealings. It is possible that the perspective transformation model would provide the framework for also researching this alternative path. To maintain the current direction of research, in which individuals arrive at a more successful plateau, this study will examine the extreme end of the continuum by looking at people who achieve improved status, financial well-being, and an overall improved quality of life for the individual and his or her family. Professional salespeople are uniquely representative of individuals who are solely responsible for determining their own success. Lindeman (1926/1961) declared, The resource of highest value in adult education is the learner's experience. He followed this prominent statement with, If education is life, then life is also education (p. 6). Investigating the effectiveness of using TLT in sales environments will provide an opportunity to examine an adult learning theory in the real-life situation of sales work.

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Sales Environments Behavior psychologists Dudley and Goodson (1992) humorously, but also somewhat tragically, described a rather typical training event for salespeople: The pulsating beat of modern industry does not easily yield the time that is necessary to monitor advances in the behavioral sciences. Instead, business people must often wait for months and even years before benefiting from the fascinating theories and functional technologies spawned by this rich and broad scientific discipline. Typically, information from the behavioral sciences trickles into the business community only through speeches, books and cassettes produced by men and women who serve as self-appointed interpreters. Calling themselves motivation or performance experts, these interpreters seem to pop up in some industries like mushrooms pop up from the ground. Relying on information based on hearsay and informal sources like newspaper and magazine accounts, these interpreters are essentially entertainers. Few have the skill, background or interest to search out and read primary scientific source materials themselves. The result is incomplete or misunderstood information passed on to uncritical business consumers as factual and representative. Due to faulty transmission, information capable of making dramatic differences in the way the important considerations are managed, is watered down or garbled in transit. Nowhere is this more evident than in the management of the fear of self promotion, or call reluctance (fear of self-promotion that interferes with the prospecting activity of salespeople). Some entire industries have failed to benefit from the modern technology available to manage call reluctance because they simply dont know it exists. And they dont know it exists because the source they use to keep them up-to-date and informed on such matterstheir interpretersalso dont know it exists. (pp. xvxvi) Outside of the professional training required for earning the certifications necessary to sell investment products and services, this is an all too real description of most sales seminars. Dudley and Goodson (1992) revealed how this feature plays daily. Millions of salespeople and their managers eat Mac Wisdom served up by Tom and other proprietors of the mental fast food industry (p. xvi). Although Tom is a fictitious name given to the speaker described in this scenario, he is indicative of the edu-trainers or enter-trainers in the edu-tainment industry. The scenario depicts the definitive need for quality programs based on validated theories, and TLT may provide that solution. 25

The most recent cumulative data from the U.S. Bureau of Labor Statistics (BLS; 2007a) listed total employment at 134,354,250 individuals. Sales and related occupations totaled 14,332,020. To provide perspective, the health care industry included 10,502,920 workers, and the number of food service employees was 11,273,850. If we look at a sales-person in terms of sales skills and personal abilities, then sales training effects a change in the sales skills aspect, while the transformational learning model produces a change in the person. Therefore TLT may offer an explanation for significant increases in sales productivity: Most discussions of Mezirows theory have been theoretical critiques centering on issues of power (Hart, 1990), social action (Collard & Law, 1989; Mezirow, 1989), critical pedagogy (Cunningham, 1992; Mezirow, 1992), context and rationality (Clark & Wilson, 1991; Mezirow, 1991b), reflection (Newman, 1994) and adult development (Mezirow, 1994a, 1994b; Tennant, 1993, 1994). Interesting as these discussions have been, there is almost no discussion (in publication) about transformative learning theory as a viable model for adult learning or about implications for practice based on empirical studies. There is a real need to build upon the theoretical discussion and explore what the empirical studies say about transformative learning. (Taylor, 1997, pp. 3435) The purpose of this study is to focus specifically on finding a new environment for validating the efficacy of transformational learning. The sales profession was selected because it offers an environment in which results can be quantified, and with other factors held constant, the explanatory factor for significant improvements can be linked to transformations of the salesperson. Therefore this study is intended to reveal that sales training is a necessary, but not sufficient, condition for performing ones job well. The solution for achieving significant improvements depends on changes within the salesperson, not the training.

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Training for Insurance and Financial Services Sales The U.S. Bureau of Labor Statistics described the types of required training and qualifications that sales representatives must attain to sell insurance, securities, and commodities (BLS, 2007b). The initial training curriculum focuses on educating reps to meet licensure requirements set forth by the state because every agent must have a stateissued license. College prepares individuals for understanding the business aspects of the insurance industry, and a masters degree in business administration may be helpful for financial services; however, a great amount of industry training is necessary before agents can actually meet with prospects: Agents learn many of their job duties on the job from other agents. Many employers have their new agents shadow an experienced agent for a period of time. This allows the agent to learn how to conduct their business, how the agency interacts with clients, and how to write policies. (BLS, 2007b, Training section, para. 4) This represents a form of informal as well as self-directed learning. The majority of training is product-specific and includes the technical aspects of insurance policies. Additionally, continuing education requirements consist of courses on insurance law, consumer protection, and ethics. Agents are usually required to complete a specified number of hours of continuing education to retain their designations. Agents who provide financial planning services earn the Certified Financial Planner designation, which requires completion of education requirements and passing a comprehensive examination. This exam tests the agents knowledge of the financial planning process, insurance and risk management, employee benefits planning, taxes and retirement planning, and investment and estate planning.

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Securities and commodities sales agents must keep up with new products and services and other developments as well. Because of this, brokers regularly attend conferences and training seminars. Registered representatives must also attend periodic continuing education classes to maintain their licenses. Courses consist of computerbased training in regulatory matters and company training on new products and services. In summary, sales representatives are required to learn a significant amount of industry-specific knowledge and training before they are permitted to meet with prospective clients. All of this initial training can be compared to the types of learning Mezirow defined as instrumental and communicative. Furthermore, according to the BLS, personal qualities may be more important for success than just industry training: Many employers consider personal qualities and skills more important than academic training. Employers seek applicants who have excellent interpersonal and communication skills, a strong work ethic, the ability to work in a team, and a desire to succeed. Self-confidence and an ability to handle frequent rejection are important ingredients for success. (BLS, 2007b) Considering that all agents must have similar instrumental and communicative training to perform their jobs, another type of education, learning, or skill set must be present for the sales agents who experience significant growth over previous periods. The transformation for successful salespeople may also involve periods of reflection, critical thinking, and evaluating assumptions for them to separate themselves from the millions of other salespeople in this highly competitive field. The training to attain the certifications necessary to sell financial products will be considered a constant for all sales reps in this study. Bade and Parkin (2004, p. 10) used the Latin term ceteris paribus, which means other things being equal or if all other relevant things remain the same. Brue and McConnell (2007) refer to this concept as the 28

other-things-equal assumption used by economists to construct theories. Even though it may not be possible that everything else will actually remain the same, economists are acting in a manner similar to other scientists when they assume that all variables are held constant other than those under immediate consideration for a particular analysis. This research will presume that all sales training is instrumental and communicative learning. Transformational Learning Transformational learning theory (TLT) commonly referred to by authors and practitioners as transformational learning, contains a 10-phase model leading to perspective transformation. This model is arguably one of the primary discoveries of the original research. However, as this learning theory has continued to gain immense popularity, the perspective transformation model has not come close to keeping pace. There is no explanation why this has occurred. Therefore, research should be conducted to determine the benefits that could be realized if the model were more accessible to those who would benefit most from applying it in their own personal and professional development. Anyone beginning a review of the literature on TLT, or simply interested in the topic, would be well advised if he or she were forewarned of the complex nature of the works the individual would encounter. This is especially true if the individual is new to the field of adult education. A second worthwhile recommendation would be to remain focused on his or her objective as a practitioner, researcher, or casual reader. The literature spans an immense array of topics, from how adult learning can produce transformational change for an individual to proposals for TLT to become a charter for andragogy. An abundance of articles on the practice of TL continues to expand through 29

diverse paths, making it even more arduous to maintain a specific focus. Ultimately, the immense amount of information on TLT has left the perspective transformation model to lay dormant in only sparse publications. A partial explanation may rest on the manner in which TLT was first introduced to the academic community. Mezirow (1978a, p. 55) stated that the discovery of perspective transformation as an inductively derived theory of adult development was exciting because it is echoed in the rich literature of existentialism and phenomenology, psychoanalytic theory, developmental psychology, and constructionist theory in sociology. It also included concepts from the perspectivism of Thomas Kuhn and Michael Foucault and from the writings of Hegel, early Marx, Paulo Freire, and the psychologically oriented critical theorists. Clearly TLT was launched not only to add something new to adult education, but also to provide a unifying theory to explain how adults learn and to guide professional practice. A Chronological Framework Mezirow (1971) wrote Toward a Theory of Practice, which called for a research-based body of theory, indigenous to adult education and of practical utility to practitioners in program development, program evaluation, training, and in setting research priorities (p. 135). From the outset, most of his work maintained a primary objective to establish a theory that would guide professional practice in education. According to Mezirow, the absence of theory resulted in accepting fragmented approaches, which did very little to improve professional activity. He based his conclusions about the inadequacy of the current educational situation on the review of research produced by Brunner (as cited in Mezirow, 1971). Therefore his initial work 30

emphasized the need for improving education and established a foundation for the acceptance of a generally recognized adult learning theory. Nearly seven years later, he proposed his own theory to meet these conditions. Mezirow (1978b) built on this foundation of the need for an adult learning theory, and established the central tenet of TLT, when he published Perspective Transformation. He asserted, A cardinal dimension of adult development and the learning most uniquely adult pertains to becoming aware that one is caught in ones own history and is reliving it (p. 100). The term meaning perspectives was the central theme developed, but more important was the description of how individuals create reality and subsequently act in ways to live into this reality. To situate this work in the literature, Mezirow claimed that aspects of his work followed through on themes established by Freire. This would also become a point of contention for critics Collard and Law (1989) and Clark and Wilson (1991). However, a considerable amount of time passed before Mezirows work gained any attention. After Mezirow (1978b) published the landmark study of perspective transformation, he continued on the path toward establishing a theory for adult learning. Mezirow (1981) introduced A Critical Theory of Adult Learning and Education, in which he not only asserted that perspective transformation is one of the learning domains that is most uniquely adult, but perhaps more important, he formally proposed his own Charter for andragogy (p. 3) shown in Appendix A. He established this charter on the basis of the supposition that andragogy, as a professional perspective of adult educators, must be defined as an organized and sustained effort to assist adults to learn in a way that enhances their capability to function as self-directed learners (p. 21). Mezirow (1994) 31

expanded upon this charter. It is possible that his mission for developing a unifying theory for adult education may have covered the value of the perspective transformation model. It also seems rather peculiar that this expanding work on an adult learning theory garnered no response in the literature. In fact, it would eventually take a formal request before critics or proponents responded. The lack of response from academicians to TLT prompted Mezirow to offer a plea for responses to his work. Mezirow insisted that the distinct mission of adult education is to help learners identify their assumptions and take action to improve their performance. Of course, this necessitated that educators participate in the process, and he went as far as to suggest that this should also include dealing with the neurotic distortions of students, if necessary. Furthermore, he argued that institutions must be changed through collective action. He contended that if we fail in this cardinal responsibility, we function at best as academic content specialists or as process technicians rather than as professionals (p. 149). He asserted that changing established and repressive social institutions will require a difficult course of political action but that education for social action is also an integral part of the responsibility of educators. Mezirow (1985) made a very clear and obvious call to action, which finally elicited some responses. The assurance of responses may have been achieved because of the way he challenged the academic community. He called not only for social action, but for solidarity with the students, and suggested pervasive change in the nature of practice: If the suggestion that we invade the sanctity of the psychotherapists to the extent of acquiring the ability to help adults deal with the ordinary psychological implications of the existential dilemmas of adulthood is disturbing to my colleagues, most probably the idea of joining learners in an avowedly partisan 32

commitment for social action will seem an appalling heresy. (Mezirow, 1985, p. 149) In closing, Mezirow (1985) suggested that at the very least, a dialogue should be started to consider the validity of some of these unsettling issues. At last, the spirited debates began. However, it was now nearly 11 years since Mezirow (1978b) introduced TLT, and over 15 years had lapsed since his landmark study on perspective transformation. Collard and Law (1989) took aim at what they viewed as the missing social context component of transformation learning. They asserted that Mezirow was unsure about where to locate his emancipatory theory and that he offered only a casual equation of perspective transformation with consciousness raising. They also charged that the fundamental problem is the lack of a coherent, comprehensive theory of social change (p. 102). Furthermore, they claimed that Mezirow failed to identify conditions of ideal learning in a social environment in which structural inequalities are entrenched. Their summation was that Mezirows claims to have a theory were premature because there was only evidence of fragments of a theory of adult learning or self-directed learning. What is curious about this critique is the attack on TLT as a viable adult learning theory, rather than on the components of perspective transformation, which leads to personal change. Clark and Wilson (1991) contended that in his theory of perspective transformation, Mezirow presented a significant conceptualization of that process, but it is flawed in one major respect: It fails to account for context (p. 75). They also highlighted the numerous and frequent references in the literature to Mezirows work with only scarce critical review. In addition to examining the lack of context, they 33

proposed their own contextualized view of rationality to maintain what they believed was required to join meaning and experience. They suggested that this theory needed to expand on the relation between context and meaning, rather than minimizing the effects of context on meaning, which would enhance the explanatory power of this landmark theory. As a preference, they cited Bernsteins (as cited in Clark & Wilson, 1991) view of communal pluralities, by which we are not limited to being separate individuals with irreducible subjective interests; rather, we seek to discover some common ground to reconcile differences through debate, conversation, and dialogue. Once again, the theory, rather than the perspective transformation model, was under scrutiny. Tennant (1994) supported the claims presented by Clark and Wilson (1991) and Collard and Law (1989) for TLT lacking a social context for change. However, he recognized the emphasis of personal transformation within the individual. His suggestion, though, was the inclusion of life stage development and normative psychological development to explain certain instances of perspective transformation. Tennant recognized a pervasive tension (p. 34) in Mezirows work. He attributed this tension to the link between perspective transformation and the process of adult development (p. 36). Tennant suggested that a key to the divergent interpretations of this work was attributable to his theory directed at the intersection of the individual and the social (p. 36). However, Tennant (1994) may also be responsible for bringing the debates to a point of neutrality. Most of the subsequent research and literature on TLT from this point forward had the tendency to support, validate, or even suggest alternative ideologies to the framework of the theory. Additionally, most of the literature, especially in the Journal

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of Transformational Learning, began to explore the use of the theory in practical applications. Mezirow (1989, 1991b, 1994b) responded to his critics, actually thanking them, in most instances, for taking the time to analyze his work and for offering their opinions. He then carried on his efforts and persisted to establish a theory of adult education. He recognized that nearly a decade had passed before his work came under the scrutiny of colleagues such as Collard and Law (1989). In response to the claims against the theory, including social action, Mezirow (1989) stated, Social action is crucial but it is not the only goal of adult education (p. 172). He continued to explain that through meaning transformation, a learner may discover that he or she is not alone with his or her problems, leading the learner to consider social practices that may also have an effect on others. However, it is up to the individual whether he or she will take action. The role of the educator was to bring about critical thinking, rather than proclaiming that social action should be carried out. In response to Clark and Wilson (1991), Mezirow distinguished how perspective transformation, rather than social context, was the primary component for adult learning: While social and learning theory can never be separated, and my critics are correct in emphasizing the importance of the relationship, these are not the same thing. I have tried to show how the internal dynamics of adult learning operate within the cultural context, how critical reflection, discourse, and action can change culturally assimilated assumptions and premises which limit and distort understanding and give learners greater control over their lives. It is precisely our cultural frames of reference and how we learn to change them that transformation theory addresses. I know of few other learning theories that attempt to do so. (Mezirow, 1991b, p. 190) Taylor (1997, 1998, 2000) conducted a meta-analysis of TLT, providing a comprehensive overview of the literature and research. Taylor (1998, p. 44) identified 35

and discussed the major theoretical and empirical tensions associated with TLT. More specifically, he presented the primary areas of contention that emerged from the literature. These included individual change versus social action, a decontextualized view of learning, and the concept of a universal model of adult learning. He recognized that adult development was viewed as both a shift and a progression, with an emphasis on rationality, other ways of knowing, and the model of perspective transformation: Furthermore, Taylor (1997) revealed that most discussions of TLT have been theoretical critiques centering on issues of power (Hart, 1990), social action (Collard & Law, 1989; Mezirow, 1989), critical pedagogy (Cunningham, 1992; Mezirow, 1992), context and rationality (Clark & Wilson, 1991; Mezirow, 1991b), reflection (Newman, 1994) and adult development (Mezirow, 1994a, 1994b; Tennant, 1993, 1994). Interesting as these discussions have been, there is almost no discussion (in publication) about transformative learning theory as a viable model for adult learning or about implications for practice based on empirical studies. There is a real need to build upon the theoretical discussion and explore what the empirical studies say about transformative learning. A paucity of the available studies involving transformative learning theory, however, exists in publication. Less than 10% of the 39 empirical studies identified in this review have been published in major journals; instead most remain in dissertation format or in limited conference proceedings. (Taylor, 1997, pp. 3435) According to Mezirow (1978b), individuals pattern their lives based on cultural and psychological assumptions. Becoming critically aware of these assumptions is how an individual learns to identify meaning perspectives: A meaning perspective refers to the structure of cultural assumptions within which new experience is assimilated toand transformed byones past experience. He claimed, It is a personal paradigm for understanding ourselves, and our relationships (p. 101). Mezirow described how the transformation process is initiated by dilemmas that occur in life that cannot be easily resolved. However, individuals make the decision whether to take action. Along the way, there is the need for support from others, and an individual may hesitate along this journey by deciding whether to take action. 36

Over the past decade, TLT has been popularized, as is evidenced by the continued publication of books and, especially, articles published in the Journal of Transformative Education. As this work continues to flourish, at least a couple assumptions can be made with reasonable certainty. First, TLT will most likely not become the unifying theory of adult education, at least not in the near future. Also, the 10-phase perspective transformation model that served as the central component of TLT when it was first introduced has not become a generally accepted or well-recognized model for personal development. There is a very real possibility that the field of adult education may continue to advance without TLT, or any other single theory, for that matter. However, a discouraging fact is that the perspective transformation model may actually hold promise for significant advancements and successful results for individuals concerned with their personal and professional development. Transformative Learning Theory Researchers, professional helpers, practitioners, and individuals looking for a change model would find many aspects of this complex theory to be of interest. The focus on perspective transformation for practitioners is most evident in Mezirow (1978b, 1994b, 2000, 2003). Anyone interested in TLT as an adult learning theory would find valuable information in Mezirow (1971, 1981, 1996a, 1996b). The call to action and Mezirows responses to the debates are highlighted in Mezirow (1985, 1989, 1991a, 1991b, 1994a, 1994b, 1997). Mezirow (1990, 1991a, 1998) explained in detail the underlying theory of meaning perspectives and critical reflection. As a proposed theory of adult learning, TLT has probably had just as much success and failure as any other theory. The success it has enjoyed should be a testament 37

to Mezirows diligent and persistent efforts as well as to the theorys wide acceptance in the field of adult education. Any failure is also attributable to the common difficulty of any theory being accepted as the single theory of adult education. Merriam (1987, 2001) has emphasized some very practical explanations for why adult education may never accept a single unifying theory to guide practice: The central question of how adults learn has occupied the attention of scholars and practitioners since the founding of adult education as a professional field of practice since the 1920s. Some eighty years later, we have no single answer, no one theory or model of adult learning that explains all that we know about adult learners, the various contexts where learning takes place, and the process of learning itself. What we do have is a mosaic of theories, models, sets of principles, and explanations that, combined, compose the knowledge base of adult learning. (Merriam, 2001, p. 3) Furthermore, Merriam (1987) questioned whether adult learning even needs a theory, or even if the development of a theory would be an attainable goal because adult education is not a science. In favor of developing a theory, Cross (as cited in Merriam, 1987) suggested that having a theory would stimulate thinking and improve understanding of the field. Merriam also cited Kidd, who claimed that a theory would guide practice, provide for research, and establish methods for evaluation. However, Merriam contended that considering the enormous diversity of adult learning situations and the multidisciplinary nature of the field, it is highly unlikely that there would be one unifying theory. She stated that theory building in adult learning is in its infancy, being characterized by attempts at theory development and tentative formulations, rather than fully developed theories. Her claim was that a single theory has not been universally accepted because most theories fall short of being unique to adults, or they fail to account for all types of learning. In summary, Merriam (1987, p. 189) noted that such a theory may never evolve, and therefore it is more likely that we will have many explanations 38

that contribute something to our understanding of adult learning. The fact that TLT is not recognized as a single, unifying theory does not diminish the value of its contributions to the field. Brookfield (1992) also claimed that the effort toward formal theory building in an area as complex and problematic as adult education is not feasible. However, he did recognize that if the possibility of formal theorizing was taken seriously, it would be necessary to designate the appropriate criteria for this effort. Of course, anticipating that the academic community would reach consensus on the criteria may also be overly optimistic. The points of contention would most likely continue to prevail. An example can be drawn from the difficulties encountered as andragogy was proposed. Pratt (as cited in Merriam, 2001) declared that andragogy had been widely accepted around the world and will likely continue to be the window which most adult educators first look through. He continued, however, to point out that even though andragogy has contributed to our understanding of adults as learners; it has done very little to expand or clarify our understanding of the process of learning (p. 21). Merriam and Caffarella (1991) noted how a seemingly innocuous comment made by Knowles (1975, 1978) became a pivotal point used by critics who had earlier been staunch supporters, with raving comments about andragogy. Merriam and Caffarella pointed out how Knowles clarified his position by stating that andragogy-pedagogy represents a continuum and that both techniques could be applicable in various situations, regardless of the age of the learner. Because of this statement, they contended, since andragogy now appears to be situation-specific and not unique to adults, technically it does not qualify as a theory of adult learning (Merriam & Caffarella, 1991, p. 250). Cross (as 39

cited in Merriam, 1987) also concluded that because andragogy is not unique to adults, its status as a theory of adult learning is up in the air (p. 190). Considering how a prominent theory, such as andragogy, did not pass the test for becoming the unifying theory of adult education, it is reasonable to assume that a theory may still offer significant contributions to the field without being recognized as the single theory to explain adult learning. Therefore one must consider how much emphasis one should place on the various debates about a theory, when the focus of the debates is on the qualification of the theory as a single, unifying theory to explain adult learning. Understanding Perspective Transformation Mezirow (1994b) responded to many of his critics, claiming that his work may not have been clear, and he used this as an opportunity to refine and clarify transformational learning theory (TLT). This work provided a more concise framework for understanding how perspective transformation occurs. Mezirow suggested that the process of learning to make meaning is formed by our frames of reference. These meaning structures involve meaning perspectives that are broad sets of predispositions resulting from psychocultural assumptions and that determine the horizons of our expectations. They represent one of three sets of codes significantly shaping sensation and delimiting perception, feelings, and cognition. These codes include sociolinguistic codes, such as social norms and ideologies; psychological codes, such as personality traits; and epistemic codes, such as learning styles. A second, more specific dimension of our frame of reference is a meaning scheme. The meaning scheme is a composition of concepts, beliefs, judgments, and feelings that shapes a particular interpretation. Meaning schemes are specific manifestations of meaning perspectives. 40

According to Mezirow (1994b, p. 223), individuals resist learning anything that does not readily fit their meaning structures. People, however, have a strong need to understand the meaning of their experience, so they strive toward viewpoints that are more functional, inclusive, and integrative of their experience. Meaning structures that are not working effectively for peoples benefit can be transformed through reflection on unexamined assumptions and beliefs. This is most likely to occur when an individual is confronted with a disorienting dilemma that serves as a trigger for reflection. The reflection may be on the content of the problem, the process of problem solving, or the premise of the problem. Premise reflection that transforms meaning perspectives is the less common, but more significant, learning experience. This learning process, therefore, may be the result of a major event or the accumulative result of related transformations in meaning schemes (p. 224). Transferring this perspective transformation process to a sales environment can be accomplished by considering the possible epistemic, sociolinguistic, and psychological meaning structures of a salesperson. Epistemic views would include knowledge and its use, sociolinguistic views comprise social norms, and psychological views are about personal selves. Therefore a salesperson confronted with a dilemma could reflect on his or her knowledge or training, how the person views his or her role as a salesperson, or how the person views himself or herself as a salesperson. Cranton (1994) suggested that one may also reflect on instrumental, communicative, and emancipatory learning domains. Furthermore, content, process, and premise reflection involves asking what, how, and why questions, respectively. Therefore a salesperson can reflect on his or her training or knowledge (instrumental), his or her performance (communicative), or his or her perception of himself or herself 41

(emancipatory). The salesperson also has the option of either taking or not taking action. However, not everyone views this process of transformational learning from the same perspective. Baumgartner (2001) described transformational learning as being conceptualized in several ways. She cited Dirxs four-lens approach to create a framework. One lens represents emancipatory learning emanating from the work of Freire. A second lens is what she termed the cognitive-rational approach of Mezirow. The third lens is the developmental approach she attributed to the works of Daloz, and the fourth lens connects spirituality and learning, which she attributed to the works of Dirx and of Healy. Each of these perspectives has a tendency of referring to a transformational learning experience as an event, rather than as a process through which one moves in a systematic manner. The Process of Perspective Transformation Mezirow (1978a, p. 7) reported that the identification of perspective transformation as the central process occurring in personal development was the major theoretical finding of his study. He defined meaning perspectives as the psychological structures that we use to define our selves and our relationships. Meaning perspectives are formed by inherited social, economic, political, psychological, and religious assumptions. Therefore, by critically examining these structures, it is possible to reconstruct our personal frame of reference, our self-concept, our goals, and our criteria for evaluating change. A transformational learner is capable of recognizing how the culture and his or her own attitudes have limited his or her self-conception, lifestyle, and

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options (p. 15). From this research, Mezirow (2000) introduced the 10-phase process of perspective transformation: 1. A disorienting dilemma 2. Self-examination with feelings of fear, anger, guilt, or shame 3. A critical assessment of assumptions 4. Recognition that ones discontent and the process of transformation are shared 5. Exploration of options for new roles, relationships, and actions 6. Planning a course of action 7. Acquiring knowledge and skills for implementing ones plans 8. Provisional trying of new roles 9. Building competence and self-confidence in new roles and relationships 10. A reintegration into ones life on the basis of conditions dictated by ones new perspective. (p. 22) The model appears to indicate a linear process, which Mezirow (1978a) later clarified when he identified salient points that were also confirmed by additional research. People may enter the transformation cycle at different points, and the phases do not follow an invariant sequence. However, once a transformation has occurred, one can never return to an old perspective. Most notable is the difficult negotiation and compromise, backsliding, and self-deception that may occur frequently, and people can stall temporarily or permanently in any phase. Mezirow emphasized that stalling is most common at two points: at the beginning, during what would be critical analysis of ones life; and the other critical time is the point when a commitment to action should logically follow awareness and insight but is so threatening or demanding as to be immobilizing (p. 16).

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These difficulties are evidence that individuals may need professional assistance to navigate this personal development journey effectively. Although individuals may enter the perspective transformation model at different phases, it is most likely that the process will be initiated because of a disorienting dilemma. Mezirow (1978a, p. 7) originally defined the disorienting dilemma as a life crisis that will not be resolved by simply learning more, solving problems more effectively, or acquiring a new skill or behavior. The source of the dilemma will strongly influence the nature of a perspective transformation, and dilemmas caused by external events tend to be more intense, more traumatizing, and more prone to creating a stage of panic that has a greater probability of leading to a transformation (pp. 1314). This disorienting dilemma is then followed by critical thinking, planning a course of action, and acquiring knowledge and skills that can bring about a change. This change takes place within a meaning perspective, which is the structure of psychocultural assumptions within which new experience is assimilated to past experience. It establishes the criteria for determining what one experiences, what one finds interesting, and what problems one decides to solve, what to learn and from whom, and perhaps most important, the meaning and direction of self-fulfillment and personal success (p. 11). This would suggest practical application in sales environments. Mezirow (1994b, p. 223) contended that meaning structures are transformed through reflection. Once confronted with a dilemma, an individual may act by reflecting on previously unexamined assumptions or beliefs, particularly those beliefs that are not serving the individual effectively. The reflection involves a critique of assumptions, often acquired through cultural assimilation in childhood, by examining the origins, nature, and 44

consequences of these beliefs. Therefore most reflection is conducted in a problemsolving framework. Mezirow stated that an individual may reflect on the content of the problem, the process of problem solving, or the premise of the problem. An individual can change his or her mind by reflecting on the content and process of problems. Individuals can do this regularly throughout a day. Reflecting on the premise of a problem, however, can transform meaning perspectives. This is a less common event that produces a more significant learning experience. Mezirow (1994b, p. 224) stated that there are four ways to learn: An individual may (a) refine his or her meaning schemes, (b) learn new meaning schemes, (c) transform meaning schemes, and (d) transform meaning perspectives. The most significant learning involves critical premise reflection of premises about oneself. This kind of learning takes place through the phases of perspective transformation. Learning to participate freely and fully in critical-dialectical discourse involves two distinct adult learning capabilities. One is what Kegan and Lahey (2001) identified as the development of our uniquely adult capacity to become critically self-reflective. The other is what King and Kitchener (1994) identified as reflective judgment, which is the capacity to engage in critical-dialectical discourse involving the assessment of assumptions and expectations supporting beliefs, values, and feelings. These adult capabilities are indispensable conditions for fully understanding the meaning of our experience and effective rational adult reasoning in critical discourse and communicative learning. King and Kitchener (1994, p. 73) asserted that the highest stage of reflective judgment takes place when individuals with fully differentiated abstract categories see 45

the problematic nature of controversies. The dissonance involved in understanding that a true problem exists causes them to become active inquirers as well as developers of new hypotheses. They suggested that individuals at the final stage of reflective judgment are capable of evaluating their own perspectives, which is an essential condition for transformational learning. Reflection plays a crucial role in perspective transformation: I make a fundamental distinction between instrumental and communicative learning. I have identified the central function of reflection as that of validating what is known. Reflection, in the context of problem solving, commonly focuses on procedures or methods. It may also focus on premises. Reflection on premises involves a critical review of distorted presuppositions that may be epistemic, sociocultural, or psychic. Meaning schemes and perspectives that are not viable are transformed through reflection. Uncritically assimilated meaning perspectives, which determine what, how, and why we learn, may be transformed through critical reflection. Reflection on ones own premises can lead to transformative learning. (Mezirow, 1990, p. 18) Theories and Critical Thinking People frequently refer to critical thinking by different names. Brookfield (1987) noted that it has been termed logical reasoning and critical reflection, while also citing Kitcheners term of reflective judgment and Scrivens assumption hunting. More important than what it is called, though, is the effect that it can produce in our lives. It can bring about improvements in our personal lives as well as social change. In describing critical thinking, Brookfield quickly moves outside of the classroom to reveal how it is situated within the domain of emancipatory learning. Brookfield cited the work of Habermas to describe how learners may become aware of the forces that brought them to where they are and how to take action to create desired change. According to Apps (as cited in Brookfield, 1987), emancipatory learning frees people from personal, institutional, or environmental forces that prevent them from seeing new directions, 46

gaining control of their lives, society and the world (p. 12). Critical thinking is the catalyst used when dialectical thinking is transformed. Many useful strategies have been developed for practicing critical thinking, facilitating classes, and helping others to become critical thinkers. The most prevalent areas of concentration in the literature for successfully developing critical thinking focus on the importance of a role model, confronting assumptions, and the benefit of peer groups. It would be difficult to find an andragogical learning model that did not include critical thinking as a necessary component. Brookfield (1987) suggested that the concept of critical thinking developed from theories such as mathetics, learning how to learn, and what he attributed to Smith (as cited in Brookfield, 1987) as metalearning. The application of critical thinking is a major component for helping students better understand theories such as those applying to practical intelligence, expertise, change, the life course, and intellectual development through the adult years. Discovering assumptions are an integral part of the critical thinking process. Mezirow (1998) also recognized the role of assumptions in critical reflection and many other theories, such as critical theory, dialectical thinking, and action science, to name a few, although he also stated that the field of education has not fully recognized and implemented the important concept of critical thinking in adult learning. He realized that critical thinking could be used to analyze pre-established assumptions that have the potential for changing a frame of reference. This change would then lead to the possibility of significant personal and social transformation. Critical thinking may be one of the most important activities of adult life, according to Brookfield (1987). It can be leveraged to evaluate the range of our thoughts 47

from what appear to be obvious answers to what we may consider universal truths. We can even use it, if we dare, as a means to see ourselves through the perception of others. At its core is the necessity to discover and investigate our assumptions. These assumptions may be just assumptions, nothing more. In this respect, they are simply thoughts that continually flow through our minds every second of our waking lives. In another respect, however, these assumptions may be of paramount importance. They may constitute the nature of our very being because we allow them to create what we believe to be reality. These are what Kegan and Lahey (2001, p. 67) called the big assumptions because we take them as truth. These are the ones that continually guide our lives, whether we realize it or not, to the point that we may begin considering the possibility of fate as an explanation for our lives. One of Kegans colleagues was William Perry, a gifted trainer of therapists, counselors, and consultants. He would tell his classes that when people came to him for help, he would listen very hard and then ask himself, What does this person wantand what will they do to keep from getting it? (Kegan & Lahey, 2001, p. 1). Powerful assumptions may direct our lives, but critical thinking can be used to better navigate the course into the future. Assumptions are so common and occur so frequently that Brookfield (as cited in Mezirow, 2000, p. 19) defined three categories of assumptions: paradigmatic, prescriptive, and causal. Paradigmatic assumptions structure the world into fundamental categories and are the most difficult to recognize as coming from ourselves. Prescriptive assumptions are what we think ought to be happening in a specific situation. Causal assumptions are the easiest to identify because they form our opinions of how the world works and may be changed. The very nature of assumptions makes critical thinking a 48

difficult competency to develop, especially on our own. Brookfield (1991, p. 7) identified four major components of critical thinking: (a) identifying and challenging assumptions, (b) challenging the importance of context, (c) imagining and exploring alternatives, and (d) reflective skepticism. Critical Thinking For the average person attempting to use the perspective transformation model, the process of critical reflection may be overly theoretical, confusing, and difficult to apply. However, processes of critical thinking that are more practical and applicable for general use have been used in educational settings, even though the term critical thinking may remain daunting for some. Elder and Paul (2005, pp. 56) presented critical thinking models that are perhaps most appropriate for general use because they are relatively easy to understand. They identified eight guidelines for formulating questions, which included (a) questioning goals and processes; (b) questioning questions; (c) questioning information, data, and experience; (d) questioning inferences and conclusions; (e) questioning concepts and ideas; (f) questioning assumptions; (g) questioning implications and consequences; and (h) questioning viewpoints and perspectives. While each of these areas is relevant to TLT, the most applicable questions are those about assumptions. According to Elder and Paul (2005, p. 6), all thought rests on assumptions. Therefore they suggested that individuals should assume that they do not fully understand a thought until they understand the concepts that define and shape it. Their work also has other similarities with TLT that make it a logical model for use. These similarities include concepts and terms found in TLT works. For example, Paul and Elder (2006b, p. 2) reminded us of Socrates declaration that the unexamined life is not worth living. 49

Furthermore, they urged that all thought takes place within a point of view or frame of reference (p. 7). They suggested that working with others allows an individual to consider other viewpoints, and eventually, a decision can be made as to which frame of reference would be most beneficial. They also stated that as humans we live in our minds (Elder & Paul, 2004, p. 2). They further suggested that everyone thinks because it is his or her nature to do so. However, much of an individuals thinking, left to itself, is biased, distorted, ill founded, or prejudiced. Therefore much of an individuals thinking leads to problems in his or her life (p. 3). More than just being perceived as faulty thinking, Elder and Paul (2004) recognized how the identity of an individual is the product of conditions outside of his or her control and understanding. Paul and Elder (2006a, p. 3) suggested that the majority of people have not really decided what to believe as much as they have been socially conditioned into their beliefs. As unreflective thinkers, minds are products of social and personal forces that are neither understood nor controlled. They contended that personal beliefs are often based on prejudices, and thinking can mainly comprise stereotypes, oversimplifications, sweeping generalizations, illusions, delusions, and rationalizations. Motivations, then, become based on fears and attachments, leading to constructs that become part of identity. To move out of this condition and change identity, Paul and Elder (2008) proposed that critical thinking is the art of analyzing and evaluating thinking with a view to improving it (p. 2). Eventually, critical thinking enables people to take charge of their learning and their lives. Their most popular model for critical thinking is most applicable for instrumental and communicative knowledge. This model is useful in evaluating perspectives through questioning clarity, precision, accuracy, relevance, breadth, logic, 50

and fairness. Paul and Elders work provides models for individuals involved in transformational learning and the process of perspective transformation. These models can be applied to instrumental and communicative knowledge as well as premise reflection. For these reasons, the critical thinking models presented by Elder and Paul are suitable and very applicable for use with salespeople.

Sales Research The health of an organization is a direct result of sales productivity, so it is crucial to identify the factors leading to increased effectiveness for salespeople, improved hiring practices, and better training methods. Transformational learning may not provide a common solution for improving sales, but it does hold the promise of acting as a key factor in many areas. As an adult learning theory, literature on transformational learning is found in educational papers but not in the sales research. Education as training is common in most sales environments, ranging from product knowledge training for new salespeople to sales training for all salespeople to increase sales. This section of the literature review will focus on sales research to define aspects of the sales role and areas of education. The most common areas are hiring, training, and ongoing performance improvement. Rich, Bommer, MacKenzie, Podsakoff, and Johnson (1999) recognized that salesperson performance is undeniably the central variable of interest in the field of sales force management. For over 80 years, sales practitioners and researchers alike have attempted to understand salesperson performance and to identify the factors that influence it. The primary reason for the importance of researching this area is the obvious 51

link sales performance and overall corporate revenue (p. 41). In just the past few decades, sales research has identified sales performance indicators, critical success factors, cognitive functions, and schemes. Implications for continued research will prove valuable for salespeople, organizations, sales mangers, and effective training initiatives. Anderson and Huang (2006) pointed out that unlike most other jobs that have changed drastically over the years the traditional steps in personal selling have been around in essentially the same form since the early part of the 20th century. These steps to a sale follow a general format, including prospecting, pre-approach, approach, sales presentation, handling objections and overcoming resistance, closing, and post-sale follow-up. Traditional sales training focused on teaching skills associated with these steps. However, top salespeople are not simply using these steps more effectively than those who are less successful; rather, they are performing more like consultants and are working with customers to develop solutions that provide mutual benefits. Anderson and Huang stated that empowerment could prove useful for improving sales abilities because empowerment is, to some degree, a psychological or motivational process that enhances the salespersons belief in his or her self-efficacy. They suggested the need for more research on how psychological states transform within salespeople during the empowerment process. This discussion also reflects how the research on sales performance has evolved over the years to incorporate the psychological aspects of the salesperson. To explain the evolution of sales performance and training, following is an overview of the research literature from the past several decades. The pioneering work of Churchill, Ford, Hartley, and Walker (1985), founded on meta-analysis research, included 116 articles of both published and unpublished literature 52

and produced 1,653 associations between sales performance and the determinants of that performance. The results revealed that sales performance was linked to six categories, including (a) personal factors, (b) skill, (c) role variables, (d) aptitude, (e) motivation, and (f) organizational/environmental factors (p. 103). However, a primary conclusion was that none of the predictors individually account for a significant determination of performance. Therefore, rather than looking to one measurement or single factor to predict sales success, theoretical models that include multiple determinants or categories of determinants will be more reliable (p. 117). A majority of research since that time either directly built on this work or referenced its findings. This work reveals that transformational learning can be applied to the sales process based on the category of personal factors. Rich et al. (1999), 15 years later, also conducted a meta-analysis and determined that 53% of the reported correlations included in Churchill et al. (1985) measured performance using subjective evaluations obtained from managers, peers, or self-reports. The remaining 47% of the reported correlations measured performance using objective data such as total sales volume, sales commissions, or percentage of quota. Rich et al. asserted that in most instances, there was no attempt to explain why one type of measure was used as opposed to another. This would suggest an implicit assumption that objective and subjective measures of performance are interchangeable (Rich et al., 1999, pp. 41 42). They concluded that objective and subjective measures of performance are not as interchangeable as assumed, and subsequently, sales managers seem to be defining performance more broadly than just objective sales productivity. Their research also

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revealed that evaluating sales performance is more complex than simply linking sales activity with results. To determine factors that may lead to improved sales performance, one of the primary determinants is to identify if a difference exists among salespeople performing at different levels. Evidence suggests that not only is there considerable variation in the performance of life insurance salespeople, but also, the factors leading to the differences have been identified. Dwyer, Hill, and Martin (2000) used a critical success factor (CSF) approach to evaluate 51 selling techniques to determine those most likely to increase sales of homogenous products. They applied this CSF approach, with salespeople, to an insurance sales setting. A sample of successful agents identified 35 success factors in their practices. However, even though some selling techniques may produce better results, the empirical research has revealed only weak associations between the determinants of performance and measures of performance as detailed by Churchill et al. (1985). Dwyer et al. confirmed 12 techniques used by top salespeople. Additionally, they were able to identify techniques associated with failure. They also claimed that CSFs are useful to the study of sales success because selling techniques are pervasive to sales of homogenous goods, and they provide a means to examine selling techniques across scenarios. Perhaps most important, though, is that CSFs can be used to develop tactical recommendations for salespeople, sales managers, or sales trainers (Dwyer et al., 2000, p. 152). Their results also revealed that there are critical selling techniques that distinguish high- and low-performing salespeople. Dwyer et al. (2000) concluded that selling experience could distinguish the two groups of salespeople. They suggested that selling techniques of top performers may have 54

been learned through on-the-job training and trial-and-error learning and that the lowperforming salespeople have not yet learned these techniques. This would have implications for self-directed and informal learning possibilities. The low-performing salespeople, and the organization, would benefit if they were able to acquire the sales techniques and methods used successfully by the top performers. However, differences between more effective and less effective salespeople may be more complex than selling techniques. Determining how to train or transfer these skills among salespeople may not be as easy as simply learning new techniques. Sujan, Sujan, and Bettman (1988) determined that there are also knowledge structure differences between the more effective and less effective salespeople. Their study indicated that more effective salespeople have richer and more interrelated knowledge structures about their customers than do less effective salespeople in terms of both customer traits and strategies for selling. Rentz, Shepherd, Tashchian, Dabholkar, and Ladd (2002, p. 13) stated that selling skills are among the most important predictors of sales performance, but the use of an overall scale would improve research into these skills. They identified a model of sales skills consisting of three components, including interpersonal skills, salesmanship skills, and technical skills. They noted that since the Churchill et al. (1985) meta-analysis, a considerable amount of research had focused on specific aspects of selling skills. Subsequently, they categorized the research on what they termed the micro-skills and the macro-skills. The micro-skill path of research dealt with individual sales skills, and the macro-skill research was on identifying the mental processes and knowledge possessed by highly effective salespeople (Rentz et al., 2002, p. 14). They claimed that sales effectiveness is a result of mental processes and knowledge. 55

A significant portion of the macro-skill research borrowed concepts and approaches from cognitive psychology to study the knowledge possessed by highly effective salespeople. Rentz et al. also noted that the findings of the study were encouraging because significant differences in the knowledge structures and mental processes of effective and ineffective salespeople were found. Furthermore, Rentz et al. (2002, p. 20) found it useful to identify the underlying mental processes of highly skilled salespeople. Isolating the mental processes that make expert salespeople can then be useful in the selection and training of salespeople. This research also indicated that there are opportunities to apply transformational learning theory (TLT) in many aspects of the macro-skills area based on the knowledge and mental processes of salespeople. The identification of meaning schemes may be applied to areas of sales knowledge, while critical thinking skills can be applied to the mental processes. Deeter-Schmelz and Sojka (2007, p. 145) realized that identification of personality traits effective in predicting sales success had become popular in the literature because of the substantial financial investment required to hire, train, and maintain a sales staff. The first-year investment could range from $60,000 to $100,000 per salesperson in the insurance industry. This requires identifying sales performance to ensure a reasonable return on investment, while not wasting money on poor sales performers. The authors noted that companies were frequently relying on personality tests to screen for potentially successful sales performers, but to be useful, these screening tools must measure the appropriate personality traits.

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After analysis of data collected from 956 salespeople, Deeter-Schmelz and Sojka (2007) determined that the two theoretically grounded traits of need for cognition and self-monitoring were proven to be predictors of sales performance. Individuals with a high need for cognition are motivated to figure things out and enjoy tasks that require problem solving. These findings not only lend greater insight into the role of cognition in sales performance, but they also underline the assertion that critical thinking skills may be instrumental in certain cases. Sharma, Levy, and Evanschitzky (2007) contended that the last major study of sales performance variance explained by salespeople attributes was by Churchill et al. (1985). Their research indicated that knowledge structure variables explain 50.2% of the variance in sales performance (Sharma et al., 2007, p. 169). They determined that salespeople classify customers into self-developed categories or groups and use a common strategy for each group, rather than using a unique sales strategy for each customer. The classifications used were defined as declarative knowledge and procedural knowledge. Declarative knowledge refers to knowledge about facts, whereas procedural knowledge is knowledge of a method or skill. In a manner of relating, these classifications could also be compared to the instrumental and communicative knowledge used in transformational learning. In the sales context, declarative knowledge is the set of facts associated with the customer category such as attributes describing a type of customer. Procedural knowledge includes information about the sequences of events and actions that salespeople use to guide their behavior when selling to specific customer categories (Sharma et al., 2007, p. 170). Therefore salespeople may develop unique sales

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strategies for each customer group, and good salespeople then interact with their customers, emphasizing different selling steps. The major finding of this study is that knowledge structures of salespeople explain a significant proportion of their performance. Therefore more attention should be paid to the evolution and development of salespeoples knowledge structures. This effort could possibly lead to a different type of training. While traditional sales training includes product knowledge, technical knowledge, presenting, objection handling, and closing, this research emphasizes that salespeople could be trained to develop better knowledge structures (Sharma et al., 2007, p. 176). Shepherd, Gardial, Johnson, and Rentz (2006) described the cognitive paradigm as the nature of knowledge and its components, sources, and development. In contrast to traditional sales research, cognitive sales research focuses on the salespersons knowledge and thought processes. The authors offered several propositions concerning the structure of the salespersons knowledge and suggested the existence of sales experts. Furthermore, they suggested that sales experts exceptional capabilities result from their superior sales knowledge and skills. They attempted to advance this work on cognitive structures to assess and codify the knowledge of expert salespeople to transfer this knowledge to less effective salespeople (p. 116). They cited the work of de Groot, who studied chess experts as the model for the methodology they used. They described how de Groot presented expert and less skilled chess players with game situations and asked them to describe their thinking in determining the best next move. Studying the verbal protocols allowed de Groot to recognize insights into the knowledge and thought processes of the expert. 58

In this research, expert and less skilled salespeople were confronted with a series of sales-oriented decision points that were imbedded in an industry-specific sales situation. In a similar manner, the research of Shepherd et al. (2006) identified insights into the sales expert. This research indicated that cognitive scientific approaches did provide insights into the nature of the expert salesperson. Similar to the results of the chess studies, expert salespeople tended to reach successful solutions to problem situations significantly more often than less skilled salespeople. Other hallmarks of experts were also confirmed in this research: Expert salespeople were found to arrive at better problem-solving solutions and were found to be more likely to relate previous experiences to their problem-solving approaches. Finally, expert salespeople were found to be significantly faster and more confident in their decision-making approaches (Shepherd et al., 2006, p. 130). Drawing a comparison to the meaning schemes in transformational learning, there is a set of cognitive script methods that maps the procedural knowledge of experienced and effective salespeople. Leigh and McGraw (1989) determined that although selling is the primary performance-related activity in the sales job, descriptions of the task-specific knowledge of sales personnel are not common. Their study used cognitive script methods to map the procedural knowledge of experienced and effective salespeople to be used as empirical content for future theoretical investigations and practical applications in sales performance and sales training. Script theory defined a script as an event schema, an organized memory structure of a sequence of activities that fit a particular situation. The scripts describe the salespersons behavior and the expected behavior of others in the selling situation. This 59

would suggest that a cognitive selling script would be a mental representation of a sales approach in certain instances that includes the role expectations for the salesperson and the buyer. Therefore a salespersons procedural knowledge would be his or her complete set of such scripts (p. 17). It is important to recognize that sales performance is more complex than the just focusing on the steps of a sale. The literature reveals that the cognitive functions of a salesperson play a significant role in sales performance. This knowledge should be used to identify how sales training may be conducted and improve as well as used to develop further research.

Sales Training Leigh (1987) recognized that salespeople are limited to learning how to sell only through direct experience by time, resources, and the availability of selling situations. Furthermore, salespeople may selectively limit sales experiences to those that are convenient or psychologically comfortable. This would result in new sales reps remaining in a very restricted mode. However, sales training programs provide an opportunity to improve the salespersons knowledge of how to sell and subsequently improve his or her performance. This suggests that one of the most important advantages of sales training over direct experience is that it may be a more effective method of learning. Salespeople may actually learn to behave more effectively and may learn more quickly through sales training programs than on their own. However, Leigh (1987) contended that even though sales training is expensive and time consuming, little systematic empirical research revealed the relative effectiveness of general or specific procedures. The ineffectiveness of sales training was 60

even more evident if the evaluation included the intermediary measures required to monitor learning and attitude change. According to literature at that time, Leigh found that even though selling is the salespersons primary activity, and represented the main component for his or her performance evaluation, not much was known about how to teach selling. However, it was reported that complex social tasks, such as how to sell, are learned more effectively and efficiently using vicarious learning methods such as observation, modeling, or role-playing. Therefore he proposed that sales training programs can be more effective and efficient by combining the use of cognitive scripts and vicarious sales training programs (p. 46). His general premise was that effective selling can be modeled in cognitive script terms and then transferred to novice or less effective salespeople. The cognitive selling scripts collected from experienced and effective salespeople could be tested and then presented through modeling and roleplaying. Szymanski (1988, p. 75) proposed that the determinants of selling effectiveness would be better understood by investigating the impact of declarative knowledge on the salespersons ability to identify the needs of customers. Differences in classification accuracy were proposed to explain variations in sales performance. The ability to properly identify the total set of customer needs is critical to the correct classification of selling categories at the prospecting, sales call, sales presentation, and sales closing stages of the selling process. He also stated that techniques such as modeling and roleplaying were most effective for sales training activities because of the necessity for sales personnel to observe and reflect on their own behavior. Therefore differences in

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classification accuracy were proposed as key factors to explain variations in sales performance. As salespeople reflect on the experiences that lead to successful outcomes, critical thinking models suggest that it may also be beneficial to consider factors that lead to failure. Mallin and Mayo (2006) recognized that salespeople should determine how to account for sales setbacks. Combined with the determinants of sales performance, a salesperson could evaluate scripts that lead to improved sales performance and those that are ineffective. According to Mallin and Mayo, accounting for sales loss is important to managing the sales force and improving the profitability of the organization. It is also possible, though, that incorrect explanations may lead to ineffective results and could add to sales recruiting and development expenses. Just the same, sales researchers should examine how salespeople account for their losses and how this affects subsequent sales performance (p. 345). This could also have implications for transformational learning in sales environments. If a sales setback results in a corresponding disorienting dilemma, the steps a salesperson takes to move out of the situation could be provided by the perspective transformation model. Mallin and Mayo also showed that salespeople could experience an emotional response to losing a major account and that some coping strategies may include temporarily avoiding the sales situation or seeking social support. These actions correspond to the next steps in the perspective transformation model. Along with identifying determinants of successful sales performance, cognitive functions, script theory, and the need for improved sales training methods, there is also the aspect of organizational change to consider. Chonko, Roberts, and Jones (2006, p. 64) investigated research literature on addiction to determine if it can be used to explain 62

resistance to change in a sales force. They suggested that current change issues represent the inevitability of change, but also the salespersons efforts to resist change. Furthermore, they presented a model for overcoming change resistance in a sales organization, which included (a) creating a program to manage change resistance, (b) preparing change agents for change resistance, (c) helping sales managers to understand the nature of sales force resistance and addictive behaviors, and (d) providing proactive sales force assistance. Weeks, Roberts, Chonko, and Jones (2004, p. 7) examined perceptions of an organizations readiness for change and individual fear of change as they relate to individual performance. The researchers found a significant positive association between a sales managers perception of his or her organizations readiness for change and his or her own job performance. They found that a sales managers fear of change may be a stronger indicator of performance than his or her perception of the firms readiness for change. The key findings, though, were the implications for recruiting and selection strategies. Sales environments can frequently experience high turnover. If management is hiring personnel who will be working in a very turbulent business environment that requires periodic employee change, it might be advisable for management to seek out individuals who are more receptive to change (p. 13). Perhaps more important, though, is the identification that change and learning are inseparable. Therefore resistance to change may offer solutions for determining how also to overcome resistance to learning. Cron, Marshall, Singh, Spiro, and Sujan (2005) recognized the rapidly changing demands of sales positions and suggested not only the need to better understand the nature and extent of these changes, but perhaps even the need for a revised taxonomy of 63

selling positions. They focused on the training area to contend with these changes. They suggested that sales training initiatives should continue to focus on knowledge, skills, and abilities (KSA); however, these should be categorized according to task-related KSAs, growth-related KSAs, and meta-KSAs. Task-related KSAs are the traditional selling behaviors required for a salesperson to carry out the job of selling. Growth-related KSAs incorporate learning theories, while meta-KSAs are the motivational and personality factors supporting growth-related KSAs, which then enhance task-related KSAs. Cron et al. highlighted the importance of developing a learning orientation for salespeople, noting that training is constantly evolving based on learning theories, and therefore sales training should follow accordingly. Reid and Plank (2000) conducted a comprehensive review of marketing literature, including over 2,000 articles, to assess the current state of the field and directions for future development. They noted the vibrant research activity in this field, while recognizing certain areas that have received greater research effort since the basic models of Walker, Churchill, and Ford (as cited in Reid & Plank, 2000). From the published articles on sales management, Reid and Plank identified learning and knowledge as one of the major categories. They stated that research findings from these studies suggest that salespeople with more knowledge, broader scripts, and more developed evaluation schema are more successful. Furthermore, they found that sales training had only limited coverage in the academic literature. They noted that most of the information on sales training was not produced by academics and was published mainly in practitioner journals such as the Training and Development Journal and Training. As for sales training research, they 64

concluded that the academic business marketing literature does not recognize the importance of sales, so this is a research area that needs more attention.

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CHAPTER 3. METHODOLOGY This chapter outlines the methodology used for conducting the research study to determine what role the transformational learning theory (TLT) perspective transformation process plays in the professional lives of salespeople confronted with a disorienting dilemma such as a challenging economy. It includes data sources, characteristics of participants, instrumentation, data collection procedures, data analysis techniques, and data storage. Additionally, the chapter describes how participants rights and welfare are protected and how their confidentiality was maintained. This study employed a qualitative methodology designed as a bounded case study to determine how and to what extent the perspective transformation model may be applied by salespeople. Taylor (2000) stated, Many find quantitative research impractical because of the amorphous nature of transformational learning. He went on to suggest that in many ways positivism seems to contradict the constructivist orientation that is so indicative of transformative learning theory (p. 321). The qualitative case study design has therefore been selected as an effective method for this study.

Identifying Participants According to Brue and McConnell (2007, p. 141), economists group industries into four distinct market structures, identified as pure monopoly, oligopoloy, monopolistic competition, and pure competition. An industry is defined by how easy it is for a firm to gain entry, the number of firms in the industry, and whether or not the products within the industry are standardized. Therefore a pure monopoly is a market structure in which one firm is the sole seller of a product or service for which there is no 66

good substitute. An oligopoly comprises only a few sellers of a standardized or differentiated product. Industries classified as monopolistic competition comprise a relatively large number of sellers producing differentiated products. Firms in this type of industry distinguish their products or services by an approach or selling strategy known as product differentiation to compete on a basis other than price. Industries defined as pure competition include a very large number of firms producing a standardized product, and new firms can enter or exit the industry very easily. The research sample included salespeople from industries characterized as pure competition and monopolistic competition. Brue and McConnell (2007, p. 191) further distinguished these industries by recognizing that monopolistic competition comprises a fairly small number of firms, perhaps between 25 and 70, in comparison to the hundreds or thousands of firms in an industry considered as pure competition. The rationale for including salespeople from these industries is the probability or likelihood that in a highly competitive industry with relatively fairly standardized products or services, any change in sales will be the result of a salespersons efforts. Therefore, the selected participants were salespeople who sell products or services in industries identified as either pure competition or monopolistic competition. Creswell (2005) stated that purposeful sampling is conducted when researchers intentionally select individuals and sites to learn or understand the central phenomenon. There are also extreme or outlier cases that may be encountered that are participants who display extreme characteristics. These may be salespeople who are achieving significant increases in sales while sales for most others are decreasing. The participants of this study are sales professionals in highly competitive industries such as insurance, financial 67

services, real estate, and office equipment. Personal networking was used as the primary method for locating these participants. Additionally, Internet-based electronic networking tools, such as LinkedIn and Yahoo! Groups, were used to identify companies and associations within these industries. Membership lists for associations such as the American Society for Training and Development and various networking groups were also useful for expanding networking opportunities. Personal visits to local branch offices of target companies were used to also identify executive contacts and possible participants. Convenience sampling, as defined by Creswell (2005, p. 149), is the process of selecting participants who are willing and available to be studied. This convenience sampling was used to identify some of the initial participants. Additional participants were contacted by snowball sampling, which Creswell explained is a form of qualitative purposeful sampling that is engaged after a study begins, and in which the researcher asks participants to recommend additional individuals to study. Initially, the focus of this study was on sampling a typical or average salesperson in the industries specified to determine if the perspective transformation model played a role in their professional development. Flick (2007, p. 28) identified typical cases as those in which success and failure are particularly typical for the average or the majority of cases. Gall, Gall, and Borg (2005) described a typical case as one that exhibits the characteristic to an average or typical extent. Therefore the primary criterion for selecting participants was that the salesperson must have at least 2 years of sales experience in his or her chosen field, but no other specific characteristics. As the interviews progressed, outlier cases were

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identified based on the data collected. For example, one sales representative had achieved a significant increase in sales compared to others in their industry. While Creswell (2005) suggested that depending on the specific study, it is typical to interview 1 or 2 participants in some instances, and 3040 cases in other types of research. For this study, an initial estimate of the number of participants required was 10 15. Fourteen participants were interviewed which provided enough data to confirm the central phenomenon of discovering if examples of the perspective transformation phases were present in the professional development of salespeople. This number of participants also met Kvales (2007, p. 43) recommendation to interview as many subjects as necessary for a researcher to learn what they need to know. The final number of participants achieved what Kvale called saturation, defined as the point at which additional interviews yield little new knowledge. Economic conditions have declined significantly since the time this study was first considered. Initially, the goal was to identify veteran salespeople who recently experienced significant increases in sales, and then determine if perspective transformation played any role in their increased sales success. However, after considering the condition of financial markets and the economy in general, it was highly unlikely that a sample of salespeople would be available who have shown significant increases in sales over previous periods. This economic change has not eliminated the possibility of conducting this study, and in a sense, it actually made the study even more practical. The first phase of the perspective transformation model is the experience of a life crisis, defined as a disorienting dilemma. A salesperson that has experienced a significant increase in sales may or may not have experienced a disorienting dilemma 69

prior to his or her increased productivity. However, considering the current economic conditions, it is very probable that most salespeople in highly competitive fields, such as the financial services industry, would be experiencing very challenging times, which may actually be the cause of a disorienting dilemma. A greater number of participants for the sample were available under these conditions and parameters, which meant there was an increased opportunity to gather data on other areas, such as various types of informal learning, and making it easier to identify stalling at various points in the process. Additionally, the challenging economy represented an external source producing the disorienting dilemma. Mezirow (1978a, pp. 1314) noted that the source of dilemma may be external or internal and will strongly influence the process of perspective transformation. External dilemmas tend to be more intense, resulting in a stage of panic and an urgent need to change. In contrast, an internal dilemma takes the form of a subjective feeling that life is not fulfilling, or the individual feels a sense of deprivation. When the dilemma has an internal source, the degree of intensity accompanying it matters considerably and is often difficult to evaluate. Because the externally caused dilemma is likely to be less negotiable and to be more intense, it will more frequently lead to a perspective transformation. Because the economic crisis represented an external dilemma, this also provided an opportune time to conduct this study. Mezirow (1978a) also noted that a person may stall temporarily or permanently at any phase, and because of the difficult negotiation and compromise involved in perspective transformation, backsliding and self-deception may also occur. He emphasized that stalling is most likely at two points: first, at the beginning, during what 70

would be a critical analysis of ones life, and second, the other critical time is the point when a commitment to action should logically follow awareness and insight but is so threatening or demanding as to be immobilizing (p. 16). It is possible to investigate if a helper could assist participants in moving through these stalls, which would also elevate this study to the task of doing research with people, as proposed by Reason (1994), and possibly helping them in the process. Kvale (2007, p. 14) stated that a well-conducted research interview may be a rare and enriching experience for the subject, who may obtain insights into his or her life situation. Helping participants identify methods to advance their situations was an added benefit of the study. Several of the participants continued to discus how aspects of TLT could be used by salespeople after the interviews were completed. Various training and coaching models were also discussed. Identifying examples of critical thinking and self-directed or informal learning used by salespeople was also an important goal of this study: In its broadest meaning self-directed learning describes a process in which individuals take the initiative, with or without the help of others, in diagnosing their learning needs, formulating learning goals, identifying human and material resources for learning, choosing and implementing appropriate learning strategies, and evaluating learning outcomes. (Knowles, 1975, p. 18) Locating individuals through convenience and snowball sampling was feasible for identifying individuals who met the subject profile for this study. After verifying that individuals met the requirements did exist within these environments, they were contacted by telephone, mail, or e-mail to determine if they were willing to participate in this study.

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Procedure Yin (2003) suggested that preparation for conducting a case study should include evaluating the skills of the investigator, developing a protocol, screening candidates, and creating a pilot case study. Before describing each of these areas, it is also important to note Yin expressed that the research design may be a difficult part of doing case studies because established designs for case studies have not been developed, as they have for other research methods. However, there were additional sources that provided valuable suggestions that added to the rigor of these studies. For example, according to Leedy and Ormrod (2001), a researcher may consider using the quantitative or qualitative method based on the personal preferences and skills demanded by the approach. They explained that quantitative research requires a high desire for structure, deductive reasoning, and statistics skills to conduct the necessary activities successfully. In these studies, the final report requires a technical, scientific writing ability. However, an advantage for some is that quantitative methods do not require a strong ability to work with people. In contrast, Leedy and Ormrod (2001) also stated that a researcher considering a qualitative study, such as this case study, may have a low desire for structure and prefer using inductive reasoning skills. The researcher may write the report in a literary or narrative writing style, but he or she must have a high ability or desire to work with people. Although the case study design was selected because it is an effective method for researching perspective transformation, it was also advantageous that the researchers skills are consistent with those required by a qualitative case study research design.

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Investigator Some people decide to conduct a case study because they think it will be easier than following routine analytical procedures, according to Yin (2003). He cautioned that in actuality, the demands of a case study on the intellect, ego, and emotions are actually greater than anticipated. Rather than completing surveys or collecting data, a case study researcher will need to constantly interact with participants during the data collection phase, while considering theoretical issues. Therefore the skills of the investigator should include the ability to ask good questions, good listening skills, adaptability and flexibility, and a firm grasp of the issues being studied; in addition, the researcher should be unbiased by preconceived notions (p. 59). Yin also explained that good listening skills will prevent a researcher from becoming trapped by personal ideologies or preconceptions, and clearly understanding the issues being studied will keep the relevant data manageable. An interviewer will have a better opportunity to identify contradictory evidence when he or she minimizes his or her bias and listens to all perspectives, even those contradictory to established findings and expectations. Previous coaching and consulting experience has prepared the researcher well for this type of work. The researcher has pursued coaching and consulting work based on interests and natural abilities in these areas, which have been further honed and developed through practice. Therefore, researcher was confident of his ability to conduct highly effective participant interviews for this study. These skills were also crucial during the phase of asking openended questions.

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Protocol The preparation stage included getting the necessary equipment, such as taperecording devices for both personal and telephone interviews; preparing letters of consent; and preparing thank-you notes. The case study was focused on individual participants, rather than companies, and therefore interviews were conducted in locations away from participants companies. In most instances, the participants were commission salespeople who are used to meeting in convenient locations with an appropriate business atmosphere. Aside from scheduling the interviews as soon as possible to expedite the study, there were no scheduling concerns that affected the timing for conducting the interviews. The main criterion was determining a time convenient for the participants. Another minor concern was to work with participants who were currently experiencing challenging times. This also enhanced the collecting of data because the participant did not have to recall very distant thoughts or behaviors. The need for a participant to reflect back on a transformative experience would not have been detrimental though as Taylor (2000) showed that many studies required participants to reflect on prior experiences, and on the basis of his analysis, this did not significantly affect the reliability of the results. Creswell (2005, p. 367) stated that conducting a pilot study will help to verify that the constructed questions are clear, unambiguous and do not confuse participants. A pilot test of a questionnaire or interview survey is a procedure by which a researcher makes changes in an instrument based on feedback from a small number of individuals who complete and evaluate the instrument. Gall et al. (2007, p. 253) stated that during the pilot interviews, the researcher should be alert to communication problems, evidence of 74

inadequate motivation on the part of respondents, and other cues that suggest the need for rephrasing questions or revising the procedure. They also suggested that the participants be permitted to rewrite the questions to improve the language used and overall comprehension. A pilot study was conducted that included several participants. Many of the questions were revised which made them easier to understand. In addition, the initial questions were edited to make them less interrogative in nature. Another benefit of conducting the pilot study was to determine the amount of time to allow for the interview so that participants were properly informed about their commitment prior to accepting the invitation to participate. The participant interviews were in person when possible based on geographical location. Participants located beyond a 60-mile radius from the researcher were interviewed by telephone. In these instances, the questionnaire was e-mailed or faxed to the participant. The questionnaires also noted if an interview was conducted in person or by telephone. Whether the interviews were conducted in person or by telephone did not have any noticeable difference in the data collected or the results of the study. Participants signed consent forms prior to the interviews. In addition to the basic disclosure information, the consent forms also stated that the interview would be recorded. Notes were written to document when a participant required clarification for a question, the question asked, and the response given by the researcher. However, this only occurred in a few instances and the information showed these interactions did not have any effect on the results or detract from the study.

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Locating potential participants was one aspect of the interview process; however, not everyone who met the general selection criterion became a candidate for the interview. Some candidates simply refused to participate in the interview. Others agreed to participate, but they did not make themselves available to actually conduct the interview when they were contacted to set an appointment. The interviews were conducted using the questionnaire shown in Appendix B. Thematically, the questions relate to the what of an interview, to the theoretical conceptions of the research topic, and to the subsequent analysis of the interview according to (Kvale, 2007, p. 57). The questionnaire included both closed- and openended questions. This questionnaire format also represents what Yin (2003) described as a focused interview and what Gall et al. (2007) described as semi-structured. Data from the closed-ended questionnaire responses was used to determine the extent to which salespeople experienced the phases of the perspective transformation model. The openended questions were designed to gather data pertaining to steps when a stall had occurred, examples of self-directed learning, and instances of critical thinking. According to Creswell (2005, p. 217), the advantage of this type of questioning is that predetermined close-ended responses can net useful information to support theories and concepts in literature, but the open-ended responses lead to exploring reasons for the close-ended responses and identifying comments people might have that are beyond the responses to the close-ended questions. Typically, qualitative researchers look for overlapping themes in the open-ended data, and some researchers count the number of themes or the number of times the participants broached the themes. This process was used for the evaluation during the analysis of the data. 76

Gall et al. (2007, p. 451) described the interview process as asking a series of structured questions and then probing more deeply with open-form questions to obtain additional information. They defined the participants viewpoint as the emic perspective. However, the case study researcher generally maintains his or her own perspective as an investigator. The case study researchers perspective as an outsider is the etic perspective; his or her perspective helps the researcher make conceptual and theoretical sense of the case, and to report the findings so that their contribution to the research literature is clear. Therefore, data from the conversational portions of the interviews added information to the study that was not previously considered. Emerging themes also developed such as how salespeople felt about sales training, coaching, or any other type of informal learning, such as reading books about selling. For these conversations to be successful, effective communication between the interviewer and participants was necessary. Kvale (2007, p. 5) stated that although the format is rather structured, an interview is literally an inter-view, described as an interchange of views between two persons conversing about a theme of common interest. All of the interviews were very rewarding and beneficial for gathering additional information based on such an exchange of views. Gall et al. (2007, p. 254) presented a table of interviewer behaviors that may affect the quality of the data collected. These characterizations highlight the importance of ensuring confidentiality by describing procedures used, building rapport, and explaining benefits that may come from the study. The majority of Gall et al.s suggestions pertain to how to ask the questions during the interview, including considerations of how to ask questions without being interrogative, to establish a good flow, to deal with threatening or sensitive issues, and to ensure that the respondent talks 77

more than the interviewer. Additionally, Gall et al. provided criteria for accessing the setting, understanding the participants language and culture, and deciding how to present oneself. These suggestions all proved helpful and lead to improved performance. Many of the suggestions were reviewed prior to conducting the interviews. Gall et al. (2007, p. 452) also showed that some case study research makes an attempt to explain observations for the phenomena studied, for example, how one type of variation is related to another. If the researcher does not claim that one variation has a causal effect on the other, it is a relational pattern. If causality is identified, it is a causal pattern. In this research, the specific phases of the perspective transformation model were compared using the Likert scale questionnaire to determine causality. Asking effective questions was most crucial during the phases of the interview that attempted to distinguish the types of self-directed and informal learning, and critical thinking, the participant had experienced. During the time of open-ended questioning, listening skills were crucial for hearing not only what was said, but more importantly, what was not being said. It is very likely that someone may have followed a line of critical thinking without knowing this procedure existed or that there was even a concept to explain the process. Being adaptive and flexible was very important to identify patterns that may be outside the narrow framework of the phenomena being investigated. Kvale (2007) categorized various types of questions and how they can be used effectively during interviews. Introductory questions ask a participant to describe or inform how something occurred. This format follows a could you describe or can you tell me type of leading question. Follow-up questions are direct, while probing questions are posed by asking the participant to say something more about a topic, asking for 78

further examples, or asking for a more detailed description. Specifying questions ask what the participant actually did in a particular situation. Indirect questions are framed to ask someone what they think, feel, or believe. Questions can also be useful for clarifying or interpreting a response. An effective use of silence may draw out additional significant information. Finally, structuring allows the interviewer to maintain control by stating that he or she would like to introduce another topic. The structured interview questionnaire was developed specifically from the 10 phases of the perspective transformation model to prevent researcher bias, which would hinder identifying patterns outside of what the researcher was attempting to identify. The follow-up questions were developed to determine areas of self-directed and informal learning, and critical thinking. Caution was exercised to ensure that behaviors of the participant were not categorized as critical thinking, when, in fact, they were not. Having a firm grasp on the issues and collecting data based on a preconceived notion are also attributes of a research study. However, the desire to discover successful results based on these initial ideas should not alter the interviews. The researcher also needed to be aware of identifying practices of self-directed and informal learning, and critical thinking, without leading the participant into these areas or framing his or her responses into this framework. Gall et al. (2007, p. 448) described the unit of analysis as the aspect of the phenomenon studied. However, any phenomenon has many aspects. Therefore the researcher had to select a focus for investigation. The focus is the aspect, or aspects, of the case on which data collection and analysis will concentrate. The unit of analysis, or

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primary aspect, was the ten-phase perspective transformation model, while self-directed and informal learning and critical thinking were additional aspects. Doing research with people may also be an opportunity to provide value to participants by helping them to codify an activity they did not realize was a formal activity. Reason (1994) suggested that human inquiry practitioners assert, in contrast to this positivist worldview, that we can only truly do research with persons if we engage them as persons, as cosubjects and thus as co-researchers: such as co-operative inquiry, participatory research, research partnerships, and so on. (p. 10) Research, then, becomes a collaborative process of researching with and for people, rather than on people. Bias The primary concern regarding bias was the researchers initial belief that the perspective transformation model can be instrumental in the professional development of salespeople, although this is not to imply or suggest that it would explain all instances of increases in sales productivity. Gall et al. (2007) noted that researchers recognize the propensity toward error and bias in data collection. Therefore research studies are designed to eliminate such instances. For example, research assistants can be used for minimizing researcher bias during the interviews. However, in this particular research study, the overall quality of the study was enhanced by the researcher personally conducting the interviews. Yin (2003) suggested that case study researchers are prone to bias because they tend to understand the issues being investigated. He also suggested a test for determining bias by considering a willingness to allow others to analyze the findings while they are still in data collection. Furthermore, a willingness and openness to accept contrary 80

findings will also eliminate bias to a great degree. The researcher was open to finding contrary results because the interviews with the salespeople, regardless of the results relating to perspective transformation, would continue to advance his professional work with clients. By keeping an open mind, the researcher was able to benefit from the interviews and the analysis of the data. This would prove very beneficial in order to prevent pursuing an ineffective type of coaching format with coaching clients. In other instances, unanticipated responses held the possibility of identifying practices or attributes of salespeople that the researcher had not realized or had not been willing to accept prior to the evidence produced by the interviews. Therefore, the researcher recognized that contrary explanations would prove beneficial if they were presented. Finally, to eliminate bias, the research was reported fully and honestly. Data collection may end based on theoretical and practical evaluations. Practical considerations include time and budget constraints. Gall et al. (2007) cited the work of Lincoln and Guba, who identified the theoretical considerations that at some point, there will be an exhaustion of sources, saturation of categories, emergence of regularities, and overextension. At some point, participants will not be able to offer more information. New data will produce very little new information given the effort devoted to data collection, and regular patterns will continually emerge. Overextension refers to new data not being applicable to the phenomenon being studied. As stated previously, the study was designed to include 1015 participants, unless it was determined during the process that adding participants would increase the validity of the results. The conditions were met prior to completing the interviews with 14 participants.

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Ethics Gall et al. (2007) cited the work of Flinders, who described four types of ethics in qualitative research. Utilitarian ethics evaluates the morality of decisions and actions based on consequences. The ideal result is to produce the greatest good for the greatest number of people. Deontological ethics accounts for absolute values such as honesty, justice, fairness, and respect. This area confirms that doing wrong cannot be justified on the grounds that it will be for a greater benefit. Relational ethics suggests that the researcher is sensitive to the participant while attempting to support the growth of others and has a genuine caring for the subjective relationship. Ecological ethics reflects consideration for the larger cultural and social system, in addition to the individual. The researcher conducted this research ethically and complied with the necessary guidelines for quality research. All Institutional Review Board (IRB) requirements were met before conducting the pilot studies and interviews. Participants were all adults, so the consent form was the only paperwork required prior to conducting the interviews. However, as suggested by Cone and Foster (2006), while ethical considerations should be examined during the time of the IRB application, they should also continue to be examined during the interviews. This is because ethical issues not considered before initiating the study may become apparent after the research has started. No ethical issues became apparent during the interview process that required attention or modification of the study. Storage material for the interviews included removable electronic media, such as CDs and a portable hard drive, and the data was stored securely in a locked location providing access only to the researcher. The IRB approved the necessary forms granting 82

permission for someone to transcribe the interviews, however, such an individual was not employed. The researcher transcribed the data from interviews using speech recognition software. Validity Validity is a common parameter described by many authors; Yin (2003, p. 34) described the four tests generally used to test validity: construct validity, internal validity, external validity, and reliability. Construct validity measures the accuracy of the concepts being studied. Internal validity represents the causal relationships of the conditions investigated. External validity establishes the domain to which the results can be generalized, that is, for this study, sales environments. Reliability demonstrates that the data collection of the study can be reproduced with similar results. Simon and Francis (2001) stated that reliability as an estimate of how well measurements reflect true differences. They also summarized validity as the extent to which measurements achieve the purpose for which they are designed (p. 58). To meet these requirements, the researcher depended heavily on the use of the questionnaire to maintain the integrity of the unit of analysis under investigation. The first 10 questions were directly related to the phases of the perspective transformation model. Combined with the structured open-ended questions, the questionnaire created a framework to establish construct validity, external validity, and reliability. Internal validity, which establishes causal relationships, was reevaluated during the data analysis. For example, numerical values were assigned to the responses on the Likert scale questions. Analysis of these values led to a determination of whether the phases of perspective transformation actually occurred. 83

The responses to open-ended questions were evaluated to determine instances of self-directed and informal learning as well as critical thinking. The methods used in this study were intended to eliminate a significant amount of bias and interpretation that could be produced by only interviewing participants and then attempting to categorize and code the data. The use of the questionnaire and open-ended questions was intended specifically to draw on the strengths of positivist and interpretative approaches. The researcher designed the study to minimize the amount of interpretation necessary to analyze the data, which was intended to improve the actual results. Kvale (2007) described this method as push forward, where a researcher has given considerable thought during the design to the final analysis of the data. At the same time, a significant amount of time and consideration was devoted to the design to construct a method that would tend to confirm or refute the applicability of the perspective transformation model in practice. The study was also designed in such a way that the unit of analysis, the perspective transformation model, would be the main focus, while the search for instances of adult learning and critical thinking could also be conducted. Heck (2006, p. 379) stated that a case study is generally associated with an interpretivist or phenomenological methodological approach, where the concern is with sense making or the social construction of reality. Thomas (2006, p. 412) noted that findings are reliable when various researchers using the same approach find the same result. The study is internally valid when the researcher can draw meaningful inferences from instruments that measure what they intend to measure. The findings are externally valid, or generalizable, when they extend to certain individuals and settings beyond those immediately studied. 84

Therefore applied qualitative research is effective only, at a minimum, if the researcher understands rigor, if the work is anchored in trustworthiness, and if the researcher integrates mechanisms to ensure that credibility, transferability, dependability, and confirmability are incorporated (Thomas, 2006, p. 418). Overall, the initial design of this study incorporated these factors. There may always be questions regarding generalizability, depending on other settings that may be considered. The most significant factor affecting reliability would be the types of questions and underlying assumptions another researcher may have during an interview. This study was designed with a relatively high structure compared to an interview format that does not have a specific questionnaire. Kvale (2007) used the metaphor of a miner digging for data, as opposed to a traveler who gathers information to carry back for analysis and sharing, to explain this type of structure. Data Collection Plan Summary Data collection proceeded as participants were identified. There were no cyclical considerations that would have had an effect on when the data needed to be collected. Interviews were conducted in convenient, professional, and private locations suitable for audio recording. Participants were identified through personal contacts and networking. Consent or authorization forms from any external organizations were not necessary. An IRB application was completed and approved after the mentor, committee, and school approved the proposal. Only general approval was required by the IRB based on the nature of this project and its limited risks to the participants. A consent form was prepared, approved, and subsequently signed by participants before initiating the pilot study and conducting the interviews. The consent form included 85

all information required by the IRB. Cone and Foster (2006, pp. 145146) presented a summary of the consent form criteria that should include a description and purpose of study. The participants should know the type of information they will be asked to provide, a description of what they will do, and how long it will take. They should also be aware of any potential risks and benefits. Participation in research is voluntary, so the participant can withdraw at any time without penalty. Participants should be reassured that data will be confidential but also made aware of any circumstances that would necessitate the researcher to disclose information. Additionally, participants need the name of a person to call for further info or if they have complaints. The consent form included all of these items, a statement that no compensation was provided, and informed the participants that a summary of the study results would be made available upon request. Finally, all participants signed and authorized the form.

Analysis The initial analysis of data involved totaling the responses from the questionnaire. Each question referred to a specific phase of the perspective transformation model. Therefore each question generated responses to one of the four Likert scale categories. Simon and Francis (2001) suggested using a total score for each response. Therefore four categories of responses have a point value from 1 to 4 for each of the 10 questions. A total score can range from 10 to 40 points, provided each question is answered. The total for each response could also be further analyzed using various statistical methods. The most basic value was the total number of responses in each category for each question. The total responses for each question also generated a value for the average response, a 86

mode, and a median. These additional statistical analyses did not offer additional beneficial outcomes for validity or to further correlate the 10-step model in this particular study, but did provide for additional methods of reporting the data. The open-ended questions generated data most common to qualitative studies. This researcher transcribed and coded the data to identify themes. Because the openended questions were designed to discover adult learning practices and critical thinking, the emerging themes distinguished types of training, books, and coaching practices used by the participants. Additionally, the various types of assumptions uncovered during critical thinking exercises were identified by specific categories. For example, these assumptions may pertain to the participants beliefs about the sales profession; beliefs the salesperson has about themselves or customers; or beliefs around topics such as money or calling on strangers, which may have developed, as transformational learning theory (TLT) suggests, through social contexts or during development stages in childhood. After data is transcribed, organized, and coded, it may be further analyzed with the use of a qualitative data analysis program. The rationale for not using a program was based on the amount of information generated by the interviews, the type of results that the software would produce, and the researchers interest in using the software. The researcher explored the various types of software available and considered whether an analysis program would improve the quality of the analysis or the format of the final report. A program was not used for further analysis of the data or reporting purposes. Creswell (2005) described triangulation and member checking as methods to validate findings. Although triangulation may be possible and feasible after reviewing the results, member checking was the method used. The interviews were very conversational 87

in nature, and the researcher was able to ask clarifying questions to determine if the participant agreed with the researchers interpretation of their responses. Yin (2003) suggested that analytical difficulties can be minimized by having a general strategy based on theoretical propositions, rival explanations, or descriptive frameworks. After determining a general strategy, five specific analytical techniques may be used, including pattern matching, explanation building, time series, logic models, and cross-case synthesis. Yin also cautioned that none of these methods are very easy to use, and the first-time researcher may experience many challenges. Gall et al. (2005) stated that structural analysis involves a precise set of procedures for analyzing qualitative data that do not need to be inferred. Reflective analysis refers to a process in which qualitative researchers rely mainly on their own intuition and personal judgment to analyze data. Creswell (2005, p. 134) stated that an emerging process indicates that the intent or purpose of a study and the questions asked by the researcher may change during the process of inquiry based on feedback or responses from participants. Considering the design of this study and the questions already prepared, a thematic analysis was used to prepare the final data. This was accomplished by first exploring the data to identify general themes. Creswell described this process as developing themes from the data and forming an in-depth understanding of the central phenomenon through description and thematic development. The object of the coding process was to make sense out of textual data, label the segments with codes, examine the codes for overlap and redundancy, and develop themes (p. 237). The researcher anticipated that this research would produce prodigious results for ascertaining the efficacy of TLT in sales environments, but was also reasonably cautious that many surprises could be encountered, as well as evidence of 88

the model not being applicable to sales environments. Chapters 4 and 5 include the data collected and results of this study.

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CHAPTER 4. DATA ANALYSIS AND RESULTS The primary objective of this case study on transformational learning was to determine how transformational learning theory (TLT) might be applicable to sales environments within the insurance, real estate, and financial services industries. Specifically, the following Research Questions were investigated: 1. What is the role of the TLT perspective transformation process in the professional lives of salespeople who are confronted with a disorienting dilemma such as a challenging economy? 2. What role does self-directed learning and critical thinking play in the personal development of these salespeople? 3. How can transformational learning theory be used to improve the effectiveness of sales training? Study Participants The participants of this study were sales professionals in highly competitive industries such as insurance, financial services, real estate, and business services. These individuals are independent contractors, even though they may be affiliated with a company. Their income is derived through their sales and is based on a commission structure. Therefore they have the opportunity to influence their financial well-being and career success. This provides greater control over their personal and professional development than can be experienced by many individuals, who are dependent on growth opportunities with their particular employers or are restrained by the specific role constraints within their organizations. The 14 participants of this study were located in the Chicago area and, in most instances, lived in relatively affluent suburbs. Participants career experience in their 90

respective industries ranged from 2 to over 30 years, and 1 participant was transitioning into another career. Incomes fluctuated over the past year from a decrease of over 50% to an increase of almost 40%. Table 1 provides age-related demographic data.

Table 1. Number of Participants by Age

Age (years) 2029 3039 4049 5060 Over 60 No. of participants 1 1 6 3 3

Background In addition to being interviewed individually, the 14 salespeople marked responses on the questionnaire shown in Appendix B to collect data pertaining to the 10phase perspective transformation model (Mezirow, 2000), as follows: 1. A disorienting dilemma 2. Self-examination with feelings of fear, anger, guilt, or shame 3. A critical assessment of assumptions 4. Recognition that ones discontent and the process of transformation are shared 5. Exploration of options for new roles, relationships, and actions 6. Planning a course of action 7. Acquiring knowledge and skills for implementing ones plans 91

8. Provisional trying of new roles 9. Building competence and self-confidence in new roles and relationships 10. A reintegration into ones life on the basis of conditions dictated by ones new perspective (p. 22) Participants completed the questionnaire at the start of the interview, taking, on average, 15 min. The participants were able to complete the questionnaire after reading the directions without additional guidance, or having to ask questions about the survey. On very few occasions, a participant asked for a minor clarification on a term. The taperecoded interviews with each participant lasted anywhere from 30 to 90 min. Most of the interviews took place in various business settings that provided a private conference area. Several of the interviews were conducted and recorded by phone because participants were not in the immediate vicinity.

Questionnaire and Interview Results Outliers Before reviewing the questionnaire responses given by participants that will be analyzed by RQ, along with interview data, in the following sections, some notable results of the administration of the questionnaire are of importance: Two of the participants, Participants 4 and 9, showed extreme responses to the questionnaire and are therefore considered to be outlier cases. Participant 4. Participant 4 experienced significant business growth during this period. Participant 4 showed a remarkable growth of 30% in business, while nearly

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everyone else experienced decreases. This case shows that internal motivation is also a means for experiencing transformational learning experiences. His drive was not necessarily influenced by socio-cultural assumptions. He reflected on how his father was a good man who earned only modest wages. However, as a boy, he began to develop the desire for finer things as well as a means to achieve them. When the market began to turn downward and people were leaving the business, he said he really did not notice. He recognized that things are more difficult today than ever before, and learning plays a huge role. Over the years, he found it was possible to be successful by only working in a select suburban market. Recently, he expanded his market nearly from one state line to the other. He felt he had no choice except to go into areas he never would have considered before: In my mind, I used to say, I cant do that. It was impossible. I dont know that market. Now I say, I will learn that market. Bring it to me, and if I dont know it, I will learn it. He transferred his knowledge about a local real estate market to an ability to learn new markets. He said, I would not have believed I would have been doing this several years ago. In the process, he has discovered an increased self-perspective and new enthusiasm for the business, which had become monotonous. He exclaimed, I will never, ever, ever give up. I will fight to the death. I will never give up. I will always be successful. I dont care what happens. Participant 9. Participant 9 felt that the first questions presented a very negative interpretation of the current economy that implied that the economic downturn was the cause for salespeople not doing well. This individual was convinced that he must maintain a positive attitude at all times and not acquiesce to negative thinking or blame 93

external circumstances. Therefore he did not feel that any of his actions were based on reacting to a negative situation. Subsequently, he chose to answer strongly disagree to all the questions. During the interview phase, however, this participant described the current times as one of the most challenging times his family has faced. The interviewer could have clarified that his situation represented a disorienting dilemma; however, he did not want to influence the participants responses. Subsequently, this participants responses to open-ended questions during the interview provided quality data. This participant had experienced success in growing businesses before entering the insurance industry several years ago. He married a woman 15 years his junior and has two young children. He said that when he met his wife, he appeared to be a very successful individual financially. He contracted for the sale of his prior business in the staffing industry. However, the deal with his partners faltered, and he did not receive the proceeds, which were reportedly several million dollars. As the interview continued, it was very clear that Participant 9 and his family were experiencing a dire situation that easily qualified as a disorienting dilemma. The participant suggested that the economy, which is the factor of the first question on the survey, was not the cause of his challenges. The data from this research were compiled from the close-ended responses to the questionnaire and the qualitative data from the interviews about the participants responses to the questionnaire. After analysis, the data were categorized and are reported in the following sections, in relation to each RQ. Table 2 summarizes the questionnaire items and participant responses to each item.

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Table 2. Participant Responses to Questionnaire Items

Question 1a 1b 1c The economic conditions over the past year have had a severe impact on my business. This has been a challenging time, but it has not been overly burdensome. The economy (plus, perhaps, other issues) has caused what I would consider a personal crisis at some time over the past year. I have experienced strong emotions, such as fear, anger, guilt, or shame, because of the situation. I have used critical thinking to analyze the situation and my role as a salesperson. Critical thinking led me to realize that I was making assumptions that were not necessarily accurate (i.e., about the situation, my job, or myself). I realized that changing these assumptions could change the results I was getting. I recognized that my situation was not unique because I knew others who were experiencing similar challenges. I have explored options to change my situation by considering new opportunities, developing new relationships, or performing new actions (personal and professional development activities) to improve my situation. I have decided on a plan (plans) of action. Acquiring new knowledge and skills was necessary to make this change possible. Training or learning was necessary in order to make this change. I have started trying new techniques or have made changes because of this plan of action. Strongly Agree 2 0 0 Agree 6 7 8 Disagree 5 4 3 Strongly Disagree 1 3 3

3 3a

6 4

6 5

0 3

2 2

3b 4

4 5

5 8

2 0

1 1

6 7 7a 8

5 7 6 5

8 3 4 6

0 3 3 2

1 1 1 1

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Table 2. (continued)
Question 9 10 I have noticed increased self-confidence and competence during this process. I have an improved self-perspective because of my ability to meet this challenge through this process. Strongly Agree 3 3 Agree 6 8 Disagree 5 3 Strongly Disagree 1 1

Research Question 1 RQ1: What is the role of the TLT perspective transformation process in the professional lives of salespeople who are confronted with a disorienting dilemma such as a challenging economy? Motivation. Questions 1a1c were useful in determining the motivation salespeople experienced from external sources such as a very challenging economy. These periods represent what Mezirow (1978b) termed disorienting dilemmaswhen life becomes untenable, and individuals undergo significant phases of reassessment and growth in which familiar assumptions are challenged and new directions and commitments are charted. Although commonplace in adult lives, some periods are more dramatic than others and are also considered life crises. The responses to these questions (see Table 2) indicate that the economic conditions have had a severe impact on business. Furthermore, Question 1c reflects the inclusion of other factors that may have added to a period of disorienting dilemma. Overall, the participants were experiencing very challenging times. All participants, except outlier Participants 4 and 9, responded to at least one of the survey questions such that they qualified as experiencing a disorienting dilemma. Participants 4, 7, 8, 13, and 14 responded disagree to Question 1a. Question 1b was reversed in an 96

attempt to validate that individuals did not feel this was a difficult time. The additional response was by Participant 6, who felt this period was not overly burdensome in comparison to a previous period, when her income decreased more significantly because she took on training responsibilities. These same participants also confirmed Question 1c by responding disagree or strongly disagree. Therefore the only participants who did not find this period to represent a disorienting dilemma in at least one category, verified by Question 1b, were Participants 4, 8, and 13. Participant 4 is the outlier who was doing very well during this period. Participants 8 and 13 represent one man and one woman who are each over 60 years of age and who have been in their industries for over 30 and 40 years, respectively. Older participants who were in the final period of their careers were less affected emotionally by these economic times. An exception was Participant 2, who was concerned, but this concern was caused by personal issues: One of his sons was just laid off from his first job out of college, and at the same time, his other son was preparing for the birth of a second baby. Therefore Participant 2s concerns were more about family issues relating to his children. During the week of her interview, Participant 6 was waiting to hear if her son in college would be deployed by the military or if he would receive a waiver until after graduation and then attend officer candidate training. She was also getting her mother situated in an assisted-living facility. Participant 5 was having a performance review with his boss on the afternoon of the interview. His business had dropped significantly, and he was very concerned about the meeting. Participant 3 seemed to be one of the participants in the most serious financial situation. He is a family man in his 40s who had been experiencing very 97

difficult times for a number of years. He also showed the most resistance to considering alternatives. (Details about his situation, and specifics about the other participants, are included in this section pertaining to Question 3, which addressed perspectives on critical thinking.) Negative emotions. Question 2 determined if participants experienced specific negative emotions as a result of the disorienting dilemma. The responses were evenly split between the agree and disagree categories (see Table 2). Several of the participants clarified their reasons for not having strong emotional responses. Participant 4 was an outlier who increased business over 30% as a result of successfully adapting to this period. Therefore he was not experiencing a strong emotional reaction. Participant 6 had experienced difficult personal times that caused her income to decrease more significantly several years earlier, so in comparison, she did not react as strongly to this period. Participant 8 was not affected very significantly by this period, but he also claimed, to the dismay of his wife, that his emotions tended to be within a very limited and stable range. Participants 12, 13, and 14 stated that they felt this period was not so detrimental that reacting with such severe feelings as implied by the descriptive wording for emotions in this question was warranted. The participants who responded disagree or strongly disagree to this question were the same participants who did not find this to be an extraordinarily difficult time, as reflected in the previous questions. Because they did not express a concern that the economy was responsible for their current situation, they would not respond with strong emotions. Once again, the exception was Participant 6, who did agree that the economy was causing a very challenging working climate in the previous questions, but stated that 98

the definition of emotions in this question was somewhat extreme. It is interesting to note that participants who were experiencing difficult times also indicated an emotional response to the situation. Although it was not a focus of the study to explore the emotional component of this model, there was evidence of some consistency in the model through the first two questions. The responses to Question 2, combined with the responses to the series of first questions, reflect a serious condition in ones life accompanied by a strong emotional reaction. These components may cause the individual to take action. Critical thinking. Questions 3, 3a, and 3b identify if the participants engage in critical thinking about their situation (see Table 2). Questions 3, 3a, and 3b relate to the critical assessment of assumptions phase of the perspective transformation model. These questions also illuminate the crucial finding in this study. Critical thinking and reflection are arguably very important aspects of personal and professional development, in addition to being a necessary aspect of developing effective plans of action. The responses to these questions also formed the basis for RQ 2 in the next section. Therefore an overview of the responses to these questions is provided here, while a detailed explanation of the responses and the actual comments made by participants comprise the data provided in the next section, covering RQ 2. The two outlier cases, Participants 4 and 9, responded strongly disagree to Question 3. All other participants identified with conducting critical thinking, regardless of their responses to the prior questions. Participants 7, 8, and 13 responded strongly disagree to Question 3b. Participant 8 subsequently responded agree to Question 3b. The participants responses may also indicate the possibility that these individuals, perhaps 99

like most individuals, may not want to respond in a manner that suggests they do not use critical thinking. The section that details the participants responses to these questions will indicate that even though these individuals agreed to conducting critical thinking, each individual had his or her own definition of what critical thinking actually means. These responses may indicate that some participants believed that someone who thinks about his or her situation automatically qualifies as having used critical thinking. Identification with others and plans of action. Questions 4, 5, and 6 are straightforward (see Table 2). Additionally, except for outlier Participant 9, all participants responded strongly agree or agree. The primary aspect of the responses to Question 4 was that even though respondents were able to identify that others were experiencing similar challenges, they did not identify how their reactions were different based on their unique situations. This common response may be the direct result of the economy causing the disorienting dilemma, as opposed to a less global situation, such as returning to school, which was the criterion in Mezirows (1978a) original research. A curious aspect of these responses is that participants decided on plans of action, but these plans, and subsequent learning and training, were not based on direct results from critical thinking exercises. To some degree, this shows that individuals will decide on plans of action without carefully evaluating the implications, or they decide based on some process that they cannot readily identify. Self-directed and informal learning. Questions 7 and 7a are also self-explanatory (see Table 2); however, they are also a crucial aspect of RQ 2 and a primary component 100

of the adult learning theory of this study. Furthermore, they were intended to determine if acquiring new skills or learning was necessary to implement plans of action. This was also important to determine how salespeople participate in self-directed and informal learning. The results show that only 3 of the participants, in addition to outlier Participant 9, did not engage in learning or training to implement their plans of action. The detailed responses to these questions are included in the next section on RQ 2. Taking action. Question 8 determined if participants had actually begun practicing new techniques or implementing their plans of action. Responses showed that 2 participants, in addition to outlier Participant 9, did not make changes to implement a plan of action (see Table 2). The two disagree responses were from Participants 7 and 13, who also responded similarly to the previous two questions. Therefore their responses were simply consistent with the previous responses: They could not have made changes based on plans of action that they did not develop. Participant 5 did not acquire new knowledge, skills, or participate in training, as reflected in Questions 7 and 7a; however, he did make changes by launching a direct-mail campaign. This indicated that there was a need to change something and take action, but this action was not a result of critically thinking about his situation, discovering options, and then learning what was necessary to bring about the solution. Developing new perspectives. Responses to Questions 9 and 10 were mostly favorable for the participants who participated in additional training or informal learning to acquire new skills (see Table 2). Participant 10 responded agree and disagree to Questions 9 and 10, respectively. As a newer representative in the financial services 101

industry, she felt that she gained increased self-confidence, competence, and improved self-perspective. However, she noticed how others on her team were struggling and did not think it would be appropriate to express that her career was improving, while others were experiencing such difficult times. Participant 5 did not engage in the process of critical thinking or decide on any plans of action. Therefore he could not experience any change. The other participants who responded with disagree to Question 9 or 10 gave similar reasons. They stated that their progress through these phases was normal, and if they had not taken these actions, they would have felt worse; however, because this is a normal way of doing business, it did not have an effect one way or the other for them. Overall, the responses indicate that the perspective transformation model provides a framework for salespeople to describe their professional development experience. Furthermore, TLT was not a part of their sales training, so these participants were not familiar with the theory or the perspective transformation model. The following section describes the critical thinking and self-directed learning components that are the primary adult learning aspects of this model. Research Question 2 RQ2: What role does self-directed learning and critical thinking play in the personal development of these salespeople? Questions 3, 3a, 3b, 7, and 7a pertain specifically to RQ 2. After conducting the pilot study and several of the initial interviews, a major theme became apparent, which served as the primary focus for the interviews. This focus was on the role of critical thinking, identifying assumptions, and participating in self-directed learning. Each of the 102

participants expressed different interpretations of critical thinking. Additionally, Knowles (1975) provided the following description of self-directed learning: In its broadest meaning self-directed learning describes a process in which individuals take the initiative, with or without the help of others, in diagnosing their learning needs, formulating learning goals, identifying human and material resources for learning, choosing and implementing appropriate learning strategies, and evaluating learning outcomes. (p. 18) Although an evaluation of this concept, along with the principal components of andragogy, is given in the next chapter, it is notable that a significant number of participants responded strongly agree or agree to Questions 7 and 7a, on self-directed learning (see Table 2). Considering that the nature of sales is a process of meeting with as many people as possiblea numbers gameit would not have been surprising to have only several of the participants involved in learning activities; however, nearly all of the participants were engaged in some form of learning. The participants responses are detailed later in this section. The research shows that the salespeople in this study who strongly agreed or agreed to using critical thinking (Questions 3, 3a, and 3b; see Table 2) all had different interpretations of that process. Furthermore, the critical thinking they employed focused more on the external environment and outside conditions than on their own thinking. TLT and the perspective transformation model have, at their core, the fundamental principle of uncovering assumptions through the process of critical thinking and then improving ones situation by changing those assumptions. As a pivotal point in the process of perspective transformation, the critical thinking function will determine, or at least direct, the overall effectiveness of the remaining steps. The responses that follow illustrate how differently the participants define critical thinking. 103

Critical thinking descriptions. The researcher asked participants to describe their interpretation of critical thinking and explain the process of critical thinking they used. Participants 6, 7, and 8 provided the most accurate descriptions of critical thinking, which they attributed to their educational backgrounds. Each of these individuals worked for different companies, so it was only by chance that their interviews occurred in succession. Participant 6 has a background in counseling and education, so she was able to articulate a well-founded definition. She is a mother in her 40s and has been selling real estate for approximately 25 years. She estimated that her business decreased by 25% over the past year. While this may be considered significant, in another regard, it is not drastic in relation to how the real estate market has dropped during these economic times. Additionally, the momentum she initiated over the past few years also contributed to the maintenance of her business during this period. She recently renewed her focus on personal sales to grow her business after a period of performing training activities for the office. The owners of the real estate office had five locations. She was assisting the management team by working with agents, but the compensation plan did not offset the income lost by taking efforts away from her sales activities. Several years ago, she recommitted herself to lofty goals. This commitment also drove her to constantly improve her business through personal and professional development seminars. Her learning included the latest training on helping clients deal with foreclosures and distressed properties. This training was also a factor in the success of outlier Participant 4; however, he initiated this change in his practice many years ago.

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The relationships he developed with banks and mortgage companies began paying incredible returns. Participant 7 stated that he was familiar with critical thinking as a strategy model because of his masters in business administration degree. However, he also mentioned that he did not base the critical thinking process on self-reflection, which is actually the critical component of perspective transformation. His interpretation of assumptions had to do with the fact that because of the critical thinking strategy used, he was not making assumptions that needed to be changed. Similarly, Participant 8 also has advanced educational degrees, and strategic planning has been a major part of his career. This experience led to the recognition of assumptions as falling within metrics in business, according to his application. Participant 4 responded strongly disagree to using critical thinking about his role as a salesperson but recognized thinking and changing assumptions as the key to improving his business. This individual is in his 40s and has been selling real estate for over 25 years. He ranks in the top 1% of agents in the United States. Prior to the economy changing, he began construction on his new home, estimated to cost $2 million. He also owned a number of rental properties. The value of these properties dropped with the market. Clearly this was a challenging time for him, yet he seemed relatively unaffected. He had developed a philosophy of doing whatever was necessary to make the sales required by his lifestyle. Early in his career, he relied on a prominent real estate training provider and continued with them through his career. Many agents do not like the discipline or difficult business practices this company promotes. This participant,

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however, has relied on a specific training system over the years, participating regularly in the events. He stated, I realized that I could not do real estate the way it was 3 years ago. The faulty assumption would be that you could keep doing things the same way. This participant also represents an outlier case in this study. His 30% increase in business over the past year represented the most significant example of how changing thinking leads to changing results. A detailed description of this case is included later in this chapter. Participant 1 is a man in his 40s with a wife and two young daughters. He has sold real estate for 15 years. While he may not have ranked as one of the top agents in the country, he did very well over the years and provided a comfortable lifestyle for his family in a prominent suburb of Chicago. Several years ago, he became serious about physical training. He developed a rigorous workout routine that prepared him for completing an Iron Man contest last year. This training also developed into a passion, so as the real estate market continued to decline, he began working as a fitness instructor. His real estate business declined over 50% during the past year: Well, if youre talking about the real estate market or the state of the economy, what was my role? Actually, my role was not the destruction of it; I was one of the people who would be hoping to improve that situation. While one of the assumptions was, it just is what it is, so theres nothing I can do to change it. I dont have the power to change it; I have no control over it, so just accept it. Critical thinking about finances showed me I could live on a lot less money. Im more comfortable with this because Ive been in this for a while now. Definitely more comfortable with my surroundings. I went through a state of denial for a while. Months and months and months were going by and it was like this has been going on for a year. Just the economy in general. Wow, this is not just a bad spring season or a slow summer. This is serious. And I would say thats where the fear comes from the most. Especially when I hear people talking about it, like the analysts on TV. This has just begun.

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Although this participant still does some real estate work, he decided to move into a new profession. He followed a passion, and the subsequent learning he did was to prepare for this new career. Participant 2 is an independent salesperson in his 50s with over 35 years in his business. His two sons graduated from college within the past 5 years and have started families. One son was laid off the week before our interview, while the other son was about to have his second child. Participant 2s concerns were mainly for his children. Although his business was about the same as the previous year, it had been declining for several years. Therefore he was not satisfied with his productivity: I thought about my role in what was occurring. I thought about my assumptions, but I dont think I was wrong. My assumptions were correct. It was me, and I needed to do some thinking and searching why Im not as successful as I should be. Participant 3 is in his 40s and is also a family man. He is very active in his childrens sports activities through coaching and organizing some of the associated social activities. His wife works, and he admitted that he has not really contributed much financially to the household for a number of years. He admitted to being in a very difficult situation; he has not made money or been happy for many years. His friends even notice the change. His critical thinking focused on the effective use of a business system. However, when asked about his role in this situation, he felt he could not make a change because this is the only career he knows: Participant 3: Because I would get caught up, ego would get involved, where I cant be wrong. The markets bound to come back. And it doesnt. You can try to talk yourself into anything, rationalizing, but its only after the fact that I can see it clearly. There were this and that signal telling me youre wrong and you just totally ignored it. (Participant 3) 107

I was just thinking about this the other day. Its been 3 years since Ive been on the computer, and its been every bit of that long since Ive been real happy. Im very edgy, miserable, because of the success I had in the past I dont have now. Im not talking about quantity, Im just talking about some steadiness of success. A neighbor of mine, about a year ago, he made the comment, Where is the old [participants name]? I know its hard, I know Im miserable. Its hard on myself, its hard on my family, but on the other side of the coin, I see the progress that I have if I stick to the rules of the program, you know, the technical aspect. I can be successful. Thats what keeps me going. Its like golf: You get one good shot at 18 holes and you want to play the next day. Researcher: Have you ever considered that you may need to do something differently? Participant 3: I have no idea what I would do. Ive been in this industryI got out of college in 1988, I did a couple of jobs for about 2 years and then I have been in this industry since mid-1990. I have no idea what I would do. Participant 6 stated that assumptions related to both personal and professional aspects were that past marketing efforts would not continue working in this economy. Additionally, the experience she gained would not get her through this market. She needed to do things differently; she needed to adjust to the market. Furthermore, she explained, I used to review my business plan a couple times a year, and now I started reviewing it almost weekly. Participant 10 responded strongly agree to critical thinking and discovering assumptions. However, her response revealed how it was necessary to adapt to the clients situation and mind-set. This may be due to her company, however, providing training on how financial advisors can deal more effectively with the emotional and behavioral aspects of investing. She is new to the financial services industry within the past few years and is in her 20s. The team with whom she works uses her energy and enthusiasm to implement marketing programs. She readily admits that while she has a good understanding of the business and does well when reviewing client cases and 108

portfolios during office business meetings used for training, she is hesitant working with mature clients. She stated that she felt intimidated, for example, working with a woman who has been successful in a corporate or business career. She felt that her inexperience and youth limited the credibility she needed to discuss retirement strategies with clients. Her business increased slightly over the past year, but her associates were not making the money they were previously. She was enjoying her career but felt she needed to recognize how the economy was affecting her associates and empathize with them: I will say that in our role in financial services, it is important to merge the emotional element of the clients experience and the impact that is having on their decision with the data. The critical thinking part has been primarily trying to first understand the needs of the client, and then address them with data. People are panicked right now (Participant 10). Participant 11 described critical thinking as detailed thinking, and systematic approaches to a problem or a method. He also mentioned, however, that it may address negative aspects or being critical about myself. Similar thoughts were expressed by Participants 12, 13, and 14: Critical process, and the critical thinking that I referred to really started by taking the emotions out of it, and by that I mean taking the emotions out of the process. Taking a step back and really thinking in addition to running business models, thinking in detail about what my sales success would have to be for me to successfully operate a business on my own. Critical thinking you hear defined a number of different ways; some people talk about conceptualizing, evaluating, and all that too. I did that, and I did that from a personal perspective as well as a business perspective. The assumption that if I had not done the critical thinking analysis and gone through the process the way that I had, the assumptions would have kept me from pursuing what I wanted to do, which turned out to be a very solid opportunity. Basically, if you dont do your homework, and you just listen to those around you, it wouldve been a tragic mistake in my particular case. Because like I said, I listened to some pretty intelligent people that I thought were pretty smart and knew what they were talking about, but in this case were not even close to being accurate. (Participant 12) 109

Just trying to evaluate where we are now, whats expected of us by the company, and whether there was a better way, a different way to satisfy some of the requirements that the company places on us. (Participant 13) There are a lot of pressures on our business that are forcing us to do things differently than we have ever had to do before. So you have to stop and look at the big picture. What kind of pressures are being put on your business, and think through it so you can take your business to the next level. The assumptions I came up with are every competitor is going through the same challenges. It is not unique. I have been an incredibly hands-on manager. The competitive pressures we are feeling today, and the additional training thats required and time required, I realized I couldnt do as much and be as successful as I was in the past. (Participant 14) Self-directed learning. The data collected from the responses on critical thinking and assumptions resulted in the second major finding of this study. The next chapter includes a detailed analysis on how training programs that included components on critical thinking will be beneficial for salespeople in rapidly changing environments. Regarding Questions 7 and 7a (see Table 2), 3 participants, in addition to outlier Participant 9, did not find it necessary to acquire new knowledge and skills or participate in training and learning to implement their plans of action. Participants 5 and 13 were relying on methods of doing business they had used in the past, and Participant 7 had his own interpretation of what represents learning. Participant 5 was in his 50s had been in the financial services and insurance industry for 8 years. His business has decreased by 50% over the past year, and his position is somewhat unique. He spent the majority of his career in banking. The company he works for now is one of the largest insurance companies in the country. This company saw the value his banking relationships could provide when they hired him. However, over the years, he did not continue developing new relationships or learning the selling skills 110

necessary to grow his business. At this time, his past relationships are not delivering the business he needs. He initiated and launched a direct-mail campaign based on a practice he had done early in his career. As far as selling efforts, this is probably one of the safest methods of marketing because it does not involve the rejection of making personal sales calls. However, it also produces a very negligible return. It was an attempt to take action but was not a direct result of critical thinking uncovering assumptions or sequentially moving through the next steps. It was simply an attempt to increase business by trying something. Participant 13 is a woman in her 60s. She has worked in the insurance industry for 30 years and has responsibility for the recruiting efforts in her agency. Because of the economy and increasing unemployment, she realized a 25% increase in recruiting activity over the past year. However, she felt it was important to simply stick with the basics and to do what works. Admittedly, she likes trying new ideas, but she is not usually the one who develops them. Participant 7 has an advanced educational background. Therefore his interpretation of learning means enrolling in a formal education program. He viewed everything he is doing now as fitting within the theoretical frameworks of what he already learned in formal education programs; however, he also teaches workshops for other agents, which means he is actively engaged in learning processes. One of the most startling realizations was that the majority of the participants, even those who did not recognize it, were actively involved in various formal and informal learning, including through books, seminars, coaches, and classes. This was evident even for those participants who did not feel they were gaining new knowledge. 111

Learning or reinforcement through books, seminars, coaches, and classes has become rather common in the sales industry. In the past, it would have been common to find only a select group of salespeople reading books or attending seminars. Although none of the participants was currently enrolled in a formal degree program, Participant 6 was considering this as a good time to return school because business activity was not as demanding as during better economic times. Participant 1 chose to pursue a new career path, so he was actively engaged in learning that prepared him for a new opportunity as a personal trainer. Participants 2, 3, and 5 expressed disappointment with not being able to make any satisfactory progress. However, none of these participants attempted to learn new methods. Participant 2 was reading new books about prospecting but was not learning about new ways to prospect such as through social media. Participant 3 was still trying to make a living by practicing a specific system but was not experiencing any progress. Each of these participants was sharpening his or her skills and methods, rather than developing new skills for the changing environment. In contrast, Participants 4 and 6 transformed their methods of doing business. They attended seminars that taught principles for working in the foreclosure market and with distressed properties. All the participants were involved in various forms of learning but did not have a clear explanation of what they expected to achieve from their studies. According to Participant 2, I have been readingthe training portionI have been working with John, the owner. I have also just been doing some practicing on my own. Practicing my presentations, practicing my questions, working on my vocabulary, my sales language, the terms that Im using. I just feel like Im doing the things that Ive been working on, I feel a little bit more like Im using the proper language, use 112

the right questions and techniques, feeling more comfortable with new people that Ive met. Still get nervous, but a little more confident in what Im talking to people about. Participant 2 has been selling for over 20 years. His sales have always been rather stable and just above average for people who stay in the industry. Over the years, he has participated quite actively in different sales seminars and will usually be reading a book on sales. However, it appears this learning is always about the basics or fundamentals. His learning has not contributed to any significant increase in sales during a specific period over his career. Participants 1, 4, and 6 are in the real estate industry. Participants 4 and 6 have attended seminars on the foreclosure market and on dealing with distressed properties. They have transitioned their business practices during these economic times and are actively engaged in growing their businesses. Participant 1 did not attend the latest training on the changing real estate market: I have been reading, taking the necessary courses for certain certifications, obviously taking training within the company to get into this new career. He was successful in learning about a new career in personal training and had started the transition. Other participants discussed various types of self-directed and informal learning they participated in for their professional development. I had no technical knowledge when I started on the computer like reading a chart and figuring out what it meant, so I signed up for a class that a mutual friend was instructing on how to read charts, and how to trade technically. Its a work in progress. Just because you do well for a week or two, its constant, I have to be on it every day. Its a new system, not what Ive done in the past. Its all technical; theres a little bit of gut reaction; to do it properly is reading a chart and figuring out when to get in and when not to get in. (Participant 3) For me, learning new knowledge and skills was important. My tenure allows me to very much be in a mode where its always good for me to learn, whether its sales techniques or different market insights and information, I always need to be 113

in a position where Im a student of the business and the industry. In order to even implement good client service models, we definitely need that. We work with a coach and I go to classes that are manager-run. So there are a lot of things that Im doing on my own, and then bringing other people in builds more accountability and credibility. Although its much easier to slip on the learning that I do on my own. (Participant 10) Maybe I should be sharing with my clients that life will go on and help them put things in perspective. Our company has provided us with training about clients emotions, reaching out to clients during turbulent times, trying to help them make the best decisions. At these times, clients are very scared. In these times, emotions take over, and when emotions take over, the logic in the brain, in my mind or in my thinking, logic takes a step to the side and emotions take over. As advisors, thats what we deal with, and if we focus purely on the logic, say, show them stock charts, show them the numbers and dont address the emotions, its not going to work. I read a lot of newsletters. I read a lot of investment newsletters. I attended as many company-sponsored events, as well as non-company-sponsored events, whether its a mutual-fund presenter or a chief investment officer, or different things like that. I try to keep my knowledge base as high as possible. All the normal financial magazines. We get a lot of trade magazines, trade journals, financial planning magazines, Financial Advisor magazine, and Investor News magazine. I also read consumer magazines like Money and Forbes. Quite honestly, without a business coach, I dont think I would be where Im at today. I dont think I would have the self-confidence, or be able to make the change. This is a coach within the company; hes a branch manager; coaches a lot of the other advisors throughout the nation. Hes truly a business coach and doesnt coach a lot on knowledge. Although he has given me a number of books to read. He coaches a lot on the business and structuring it accordingly. Hes probably my main business coach, but I also attend other coaching sessions. I signed up for a seminar all about behavioral finance. It helps me think more strategic and put things in perspective. The accountability factor is also huge, I think, so I think that helps with driving the results. Im not going to a read an article that says run your business this way and Im going to change everything. There is a broad spectrum of clients out there who will work with a variety of advisors; you have to stay true to who you are and that will also drive success. (Participant 11) Just trying to evaluate where we are now, whats expected of us by the company, and whether there was a better way, a different way to satisfy some of the requirements that the company places on us. It comes down to such a basic level that you might change a little bit, but sometimes its just a matter of doing more of the right thing. Talk to more people to get more results. I like to consider myself open to growth to new ideas, and to implementing them; I may not always think of them, but I like to be able use them. (Participant 13) 114

Research Question 3 RQ3: How can transformational learning theory be used to improve the effectiveness of sales training? All participants were salespeople in the real estate, financial services, or insurance industries. Interviews did not include executives in training departments. Therefore detailed analysis of the data pertaining to RQ 3 will be addressed in the next chapter. However, a couple participants were able to contribute thoughts on the subject of effective sales training. Participant 9 had the following to say about the training opportunities offered by his company: This company continues to exceed my expectations in the amount of training that they provide. The training is in all shapes and forms. There is the formal training that includes an industry legend that designed the one-card system. I love the company, most high-integrity, high-ethics, professional organization I have ever been part of. In fact, they blow me away. Last week Im in this training class, 49 guys; they pick the 49 best guys in the country in year 2 and they invite you to come to this city for this fast-track academy. Very high honor. They elect me to be the sheriff. I wear a badge. They give me a list of things to fine people for: if they dont wear their jacket when they leave the classroom; if they pick up their cell phone or their cell phone rings during the class; if when they raise their hand to ask a question and they dont stand up, say their name, and their office, its a fine. We are with the executive officers in the executive dining room, and a lot of these are guys 26 to 30 years old, younger kids, teaching them that youre going to be a career guy with this company, this is the way we act. This is the way we act inside our home, inside the corporate office, we expect you to carry this outside. Its very interesting. Ive never seen this. They have told me, The money will come. You will make more money than you ever imagined. The freedom will come. You will be freer than youve ever imagined. The security will be there. Youll never have the rug pulled out from under you when youre 58 or as long as you want to be here. But the biggest reward will come when you deliver the death benefit check to that spouse. And you had to push for the meeting, and you had to say, You should do this. They say when that starts to happen, all the other arrows, and youre a life insurance salesperson, that just bounces off of you because you just realized that you changed someones life. You made these kids be able to go to college, a wife be able to stay at home with the kids, stay in their house, and continue to live in the same area. (Participant 9) 115

Participant 14 is in his 60s. He has been in the insurance industry for over 30 years. He is also the district manager for one of the top insurance companies. He qualified for this study because he has an agency, and his income is based on growing sales. He mentioned that agents have also been watching what he has been doing with his investments, such as real estate, to ascertain his plans for the future: Starting out building an agency is all about numbers, numbers, and numbers, build that agency. Go from 20 to 40 to 50. At the time, my skills were very good as a people person. People would come into class, I would teach them, but we would have fun along the way too, and as a result I got some of the best results anyone has ever got in our company. As I became more effective and knowledgeable about the industry as a whole, I could share that with the people in a fun way. People learn when theyre having fun, and when theyre enjoying a little success. I took a lot of people that were not the best qualified people, and I opened up a real opportunity for them that they would not have had somewhere else. Only because I was willing to go the extra mile to make sure they got what they needed to be successful. Over the years Ive seen a lot of district managers come and go because they didnt put in the same energy and commitment. Training materials are getting more and more sophisticated. I have to encourage people to buy into using these, and in order to do that I have to become familiar with them as well. As a result, dont do as I do, do as I say. You have to be out front leading, so I have to know how to use these things so I can encourage people to use them as well. Its impossible to push a string across the table, but you can pull it across. Im going to be out front pulling and Im going to get everyone to follow me to where I want them to go. (Participant 14)

Summary The primary objective of this research, represented by RQ 1, was to determine if the perspective transformation model would be applicable for training in sales environments. The total responses shown in Table 3 represent a strong indication that this model is applicable to the sales environment. Therefore the perspective transformation model has a relevant application in sales environments. Furthermore, incorporating the

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Table 3. Tally of Responses

Total responses Number Strongly agree Agree Disagree Strongly disagree 58 92 38 22 Percentage 30 43 17 10

Assigning 4 points to each strongly agree response, 3 points for agree, 2 points for disagree, and 1 point for strongly disagree results in a total of 612 points out of a possible 840 points. The points are reversed for Question 1b, which was used to verify responses by stating the question in a reverse manner. Responses totaled 150 to strongly agree or agree, compared to 60 for disagree or strongly disagree. This represents 71% favorable responses for this model being applicable in sales environments. This number would increase to 82% if several participants were removed. These participants would include the outlier Participant 9, who responded strongly disagree to all questions, and 2 participants who also had responsibilities other than sales; these latter two participants were included because they agreed to participate, and their additional responsibilities became apparent during the interview. However, in a subsequent study, a more stringent qualification for salespeople would be incorporated. In another respect, the disagree or strongly disagree responses on individual questions do not necessarily detract from the application of the model. These responses may simply reflect a participants response to a particular activity. Therefore, aside from participant 9 who responded strongly disagree to all but one question, it is reasonable to 117

interpret all participants as being able to respond to the questionnaire. This would mean a 93% favorable response to the model being applicable in these sales environments.

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CHAPTER 5. CONCLUSIONS AND RECOMMENDATIONS

Summary and Discussion of Results Research Goals and Theoretical Basis RQ 1 was established to investigate if the TLT perspective transformation model exists, or is applicable, in sales environments, even though it has not been included as part of the training of salespeople. What is the role of the TLT perspective transformation process in the professional lives of salespeople who are confronted with a disorienting dilemma such as a challenging economy? TLT is a comprehensive adult learning process model comprising a 10-phase process leading to a perspective transformation. However, although TLT contains a very powerful and effective formula for personal development, it is not generally accessible for common use by those of the general population whom it would benefit the most. Therefore it was beneficial to validate the effectiveness of the 10-phase perspective transformation model in professional settings outside the academic environment. Research on TLT within sales environments did not exist prior to this study. This environment provides a unique opportunity to investigate the link between external results, such as sales productivity, and the inner attitudes of the mind. Motivation is one of the primary factors for sales success, and such motivation must reside and emanate from within the individual. Therefore designing sales training programs that bring about a change unique to each individual is a difficult task. The primary purpose of this research was to determine if TLT played a role in sales environments. If TLT was evident within

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sales environments, then the second objective was to investigate the role of formal and informal learning that occurred during the process. Therefore the objective of this work was to expand the knowledge base of transformational learning by extending TLT research into the area of sales environments. Additionally, this extension of TLT also has the potential to allow us to discover solutions that fill gaps in the knowledge base regarding the perspective transformation model. These solutions may include how to initiate the process of perspective transformation, ensure a successful outcome, or identify catalysts to speed the process. The sales profession was selected as a new environment for validating the efficacy of transformational learning because it is one in which results can be quantified, and with other factors held constant; the explanatory factor for significant improvements can be linked to transformations of the salesperson. This study employed a qualitative methodology designed as a bounded case study to determine how salespeople experience the perspective transformation model. If the salesperson is viewed in relation to sales skills and personal abilities, then sales training affects a change in the sales skills aspect, while the transformational learning model produces a change in the person. This research journey was also initiated with an attempt to clarify if the inner attitudes of ones mind do in fact alter the outer aspects of ones life, and how learning theories may play a role in this process, specifically, TLT, with one of its core components being the identification of perspectives revealed through the critical assessment of assumptions. This theory, like the individual, has at its core a fundamental and powerful basis for changing lives. Yet what is most important is gaining access to

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this process, and then being able to share this process with others so they may readily apply the principles and gain the benefits. This journey also covered terrain of the sales training and personal development landscape where entertainment and lack of scientific evidence turns seminars into a process of convincing people that if they change their thinking, all will be well and that they can have it all. There is one problem. Well below the surface are the lurking thoughts known as assumptions that have more power in charting the course of ones life than all of the learning one attempts to do in order to better ones situation. Adult learning, both formal and informal, continually enhances the amount of knowledge, but may never gain access to the realm of these assumptions to sufficiently influence changes in behavior. The act of participating in the vast amount of learning opportunities available today is often like jumping into an expected solution without accurately assessing the objectives of what is to be accomplished, or the root causes of the problem, or the challenges that will become obstacles in the process. Specifically, these factors include the obscure, well hidden assumptions and underlying thoughts processes that guide an individuals actions. Critical thinking, if understood, could produce an effective method for resolving these dynamic meaning schemes and habits of mind that create our meaning perspectives. The pioneering work of Churchill, Ford, Hartley, and Walker (1985) produced research on the associations between sales performance and the determinants of that performance. The results revealed that sales performance was linked to six categories, including (a) personal factors, (b) skill, (c) role variables, (d) aptitude, (e) motivation, and (f) organizational/environmental factors (p. 103). Cron, Marshall, Singh, Spiro, and Sujan 121

(2005) recognized the rapidly changing demands of sales positions and suggested not only the need to better understand the nature and extent of these changes but perhaps even the need for a revised taxonomy of selling positions. They focused on the training area to contend with these changes. They suggested that sales training initiatives should continue to focus on knowledge, skills, and abilities (KSAs); however, these should be categorized according to task-related KSAs, growth-related KSAs, and meta-KSAs. Taskrelated KSAs are the traditional selling behaviors required for a salesperson to carry out the job of selling. Growth-related KSAs incorporate learning theories, while meta-KSAs are the motivational and personality factors supporting growth-related KSAs, which then enhance task-related KSAs. Cron et al. highlighted the importance of developing a learning orientation for salespeople, noting that training is constantly evolving based on learning theories, and therefore sales training should follow accordingly. Therefore, there is the possibility of integrating the results of this study of TLT in sales environments into the mosaic of sales training. Reid and Plank (2000) conducted a comprehensive review of marketing literature to assess the current state of the field and directions for future development. They noted the vibrant research activity in this field on sales management, and identified learning and knowledge as one of the major categories. They stated that research findings from these studies suggest that salespeople with more knowledge, broader scripts, and more developed evaluation schema are more successful. Furthermore, they found that sales training had only limited coverage in the academic literature. They noted that most of the information on sales training was not produced by academics and was published mainly in practitioner journals. As for sales training research, they concluded that the academic 122

business marketing literature does not recognize the importance of sales, so this is a research area that needs more attention. Using TLT within sales environments, along with further research that substantiates its usefulness, would make this theory applicable to sales training. This would address the needs of bringing academic research into this literature. Furthermore, this would be accomplished by evaluating the meta-KSAs and growth-related KSAs. This work also addresses the sales performance categories of personal factors, skill, role variables, aptitude, motivation, and organizational/environmental factors. Role of the TLT Perspective Transformation Process in the Lives of Salespeople: Research Question 1 Evidence from this study revealed that TLT did in fact play a role in the professional lives of salespeople. However, before examining the role of learning, an emerging theme quickly became most prominent. This theme pertains to the phase of perspective transformation dealing with the critical assessment of assumptions. The results of this study indicate that the 10-phase perspective transformation model is applicable for the professional development of salespeople and may produce very useful information for sales training programs. This would be accomplished because the model incorporates aspects of motivation, self-directed learning, using role models, and identifying changes in performance. The individual steps would then represent phases that an individual salesperson may use to increase sales based on personal development, rather than having to rely strictly on sales training. Therefore training systems should incorporate transformational learning in addition to skills development. However, clarification of the exact nature and process of critical thinking must be 123

resolved to develop effective programs. Fortunately, a solution may already exist, originating from the discipline of organizational development, which is detailed in the next section. Critical thinking challenges. The salespersons descriptions of their methods of critical thinking and uncovering assumptions were vague, and no responses were similar. General themes related to the economy, the type of marketing used, or the changing needs of customers, but no participants indicated a process of critical thinking about their own specific habits of mind, defined by Mezirow (2000, p. 17) as a set of assumptions that are broad, generalized, orienting predispositions that act as a filter for interpreting the meaning of experience. Therefore, although individuals may engage in significant and varied learning activities, there is little evidence that suggests this activity was personalized for the purpose of altering internal attitudes or perspectives. For example, the insurance industry has extensive tracking systems to determine if an agent is doing the type of sales prospecting activity necessary to build his or her base of business to become successful. There is at least a several-year period for most agents to begin earning an acceptable income. During the initial stage, the only determinants of projected success are the activities recorded in these systems. While these systems may be accurate, there is little evidence that any training or critical thinking is used to assist an agent in improving his or her abilities to increase results within each category of the tracking system. Therefore the systems become generally accepted standards for the population of new agents. This population is known to have a very high turnover rate. Subsequently, TLT may lessen this high turnover rate by providing more personalized solutions.

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Over time, agents continuing in the business without effective methods for practicing critical thinking could easily develop a sense of reification. This would result in limited earnings from sales production that remains relatively stable over their career. These individuals may also develop a myopic perspective, leading to a consistent evaluation of whether the business is for them or what their levels of success will be if they remain in the business. The reflection on and examination of the justifications for these beliefs or assumptions, which primarily guide action, were nonexistent in most of the participants experiences. In cases in which problem solving or aspects of critical thinking did appear to exist, these attempts were more a matter of trial-and-error attempts to find solutions. This was evidenced by the participants jumping to Steps 58 of the perspective transformation model, which include exploration of options for new roles, relationships, and actions; planning a course of action; acquiring knowledge and skills for implementing ones plans; and provisional trying of new roles. In some of these cases, trial-and-error methods appeared to be successful. For example, certain participants engaged in learning that brought them to new ways of doing business. These methods were accompanied by positive improvements in business results. However, other participants reported that they were engaged in learning, but their learning involved reading materials they already knew pertaining to various phases of the sales process, without bringing about any change in behavior. While it may be a good idea to return to the basics on occasion, strengthening these areas may also reinforce outdated methods of doing business and therefore does not produce improvements. An example of learning that produced improvements is the attendance of seminars about foreclosure and short sales in real estaterelatively new concepts that address the current 125

needs of the marketplace. Networking is an important aspect of gaining new business in sales; therefore learning about the latest social media technologies also brought agents up to date with modern methods. Knowles (1978) identified key assumptions about adult learners attributed directly to the work of Lindeman (1926/1961) and supported by later research. These principles eventually became one of the foundations of the many modern adult learning theories. Knowles, Holton, and Swanson (2005, p. 4) presented the current model of andragogy based on six core principles. These are based on the learners (a) need to know, (b) selfconcept, (c) prior experience, (d) readiness to learn, (e) orientation to learning, and (f) motivation to learn. These principles can also be very useful for assisting salespeople evaluate their own training and learning efforts. In a sense, this model could serve very well as a template for individuals to conduct critical thinking exercises on their informal and self-directed learning objectives. The perspective transformation model provides a template for gauging personal growth in sales environments, although some adaptation of the terminology will make it more acceptable to these cultures. The model can be viewed as five phases, rather than as individual steps. The first phase of the process, Steps 1 and 2, would serve as an indicator to determine the degree of motivation created by external situations. This specific research indicated that the second phase would be the most crucial. This phase focuses on the critical assessment of assumptions and may actually be the pivotal point for the overall success of the perspective transformation process. Phase 3 would involve Steps 46 and would include identifying with and working with others, exploring options, and deciding on plans of action. Phase 4 would represent the second most important phase 126

and would be based on formal or informal learning, which would then lead to new practices. The fifth phase would be an evaluation based on Steps 9 and 10, which would determine how an individual increased his or her competence and self-confidence, leading to a new way of perceiving his or her ability to progress toward perspective transformation, which is the successful conclusion. Furthermore, to make this model more practical, additional training needs to be developed. First and foremost, it is of the utmost importance to establish a method of critical thinking and critical reflection that is practical for salespeople to use. In fact, the term itself may need to be changed to make it easier to embrace. Second, the role of helpers capable of effectively leading individuals to recognize their own assumptions will be valuable. These individuals will serve as the catalyst that will improve the effectiveness of this process. Critical Assessment of Assumptions: Research Question 2 RQ 2 asked, What role does self-directed learning and critical thinking play in the personal development of salespeople? It is difficult to know exactly how wide the gap is between thinking a concept may be plausible and truly understanding that it works. Conducting the interviews for this research made it clear that thinking does in fact create results. To facilitate this process, though, there needs to be a model for critical thinking and uncovering assumptions that is easy to understand but, more important, easy to use so that salespeople can experience this phenomenon. According to Mezirow (1981), although one does not return to an old perspective once a transformation occurs, this passage involves a difficult negotiation and compromise, stalling, backsliding, self-deception and failure are exceedingly common 127

(p. 8). Therefore it is imperative for educators, trainers, and consultants who are familiar with this work to assume the responsibility and professional obligation to become facilitators or professional helpers in the process of transformation. In addition to the difficulty of consistently moving toward the goal of a new perspective, significant emotional challenges are also encountered in TLT. Mezirow (1978a) also emphasized that stalling is most common at two points of the process: the first is at the beginning, during what would be the critical analysis of ones life; according to Mezirow, the other critical time is the point when a commitment to action should logically follow awareness and insight but is so threatening or demanding as to be immobilizing (p. 16). A solution to this problem, apparently posed by fear, may be produced by learning methods of critical thinking and critical assessment of assumptions. There are, however, several inherent problems that will first need to be addressed. One of the primary components of TLT is the critical assessment of assumptions. This is where the actual effectiveness of this theory rests. The process of critically assessing assumptions is fraught with difficulties. As a concept, the term critical thinking is nebulous and defined by a negative, deficit-based terminology, in which the term critical implies that the process will not be fun or positive. Its purpose is to find fault through criticism by severely judging ones own thinking or beliefs. Even the most earnest attempts at this process by willing participants may be curtailed by the mechanism of self-preservation or protection of ones identity. Furthermore, this process is most likely not one that can be practiced alone. The question remains if the mind can objectively evaluate itself. Therefore the need for helpers to assist in the process of 128

uncovering assumptions is paramount. This method of training is contrary to most sales seminars and learning systems, which are designed to flood participants with new ideas and magic formulas, rather than providing personalized interaction that helps them to uncover hidden beliefs. Therefore, the conclusions section of this study proposes solutions for making TLT an effective method for sales training. These solutions include applicable models for critical thinking and process consultation as a personalized method for perspective transformation.

Conclusions A Process for Critical Reflection For the average person attempting to use the perspective transformation model, the process of critical reflection may be overly theoretical, confusing, and difficult to apply. A process is needed that will enable an individual to willingly step up to a mirror of his or her mind and see clearly through a lens of objectivity. All of this points to the one focal area of uncovering assumptions. The paradox is that assumptions remain hidden to the individual but are in plain view of a skilled observer. To uncover assumptions, it is only necessary to ask appropriately meaningful questions and then listen attentively to the responses. The responses are the manifestation of the assumptions. Of course, even the term assumptions has a rather difficult time being generally accepted or well received. The term suggests, or has the connotation of, not being based in any concrete reality. Naturally, an individual may also be hesitant about accepting that his or her most cherished and well-founded beliefs are merely assumptions. Finding an 129

objective helper in this process may also be a daunting task. It is difficult to identify someone to be involved in this process without also being attached to the outcome. Defining critical thinking succinctly and accurately may be one challenge, but teaching critical thinking has inherent challenges. Paul and Others (1997) conducted research that showed that among faculty members, critical thinking is a primary objective of instruction, but only 19% of respondents gave a clear explanation of critical thinking, and only 9% were clearly teaching for critical thinking on a given day. The major assumption instructors held is that they understand critical thinking. Critical thinking requires support; therefore one of the main learning outcomes is the competency and skill of students to learn exactly how to support critical thinking in others. This necessitates working with them to identify the process, helping them to improve it, and, perhaps most important, supporting their personal challenges. Furthermore, the concept of critical thinking may be taught as it applies to evaluating literature, conducting strategic planning, evaluating research, or for many other specific purposes. These frameworks provide a theoretical template, but it is difficult to assess how they are applied in practice. Teaching someone to critically assess his or her own thinking by uncovering assessments is a daunting task. This necessitates not only a simplified and more welcoming method for defining critical thinking, but it also requires skilled helpers to facilitate the process. Imagine, if you will, explaining, let alone teaching, salespeople to critically think about their business with the framework presented in the literature to help them uncover their assumptions. Brookfield (1991, p. 7) identified four major components of critical thinking: (a) identifying and challenging assumptions, (b) challenging the importance of 130

context, (c) imagining and exploring alternatives, and (d) reflective skepticism. Furthermore, he defined three categories of assumptions: paradigmatic, prescriptive, and causal. Paradigmatic assumptions structure the world into fundamental categories and are the most difficult to recognize as coming from ourselves. Prescriptive assumptions are what we think ought to be happening in a specific situation. Causal assumptions are the easiest to identify because they form our opinions of how the world works, and they may be changed (Brookfield, as cited in Mezirow, 2000, p. 19). Elder and Paul (2005, pp. 56) identified eight guidelines for formulating questions, which include (a) questioning goals and processes; (b) questioning questions; (c) questioning information, data, and experience; (d) questioning inferences and conclusions; (e) questioning concepts and ideas; (f) questioning assumptions; (g) questioning implications and consequences; and (h) questioning viewpoints and perspectives. Paul and Elder (2008) proposed that critical thinking is the art of analyzing and evaluating thinking with a view to improving it (p. 2). Eventually, critical thinking enables people to take charge of their learning and their lives. Paul and Elders most popular model for critical thinking is most applicable for the instrumental and communicative knowledge of sales training. This model is useful in evaluating perspectives through questioning clarity, precision, accuracy, relevance, breadth, logic, and fairness. Still, this process does not provide a ready application to sales training. Premise Reflection: Research Question 3 RQ 3 asked, How can transformational learning theory be used to improve the effectiveness of sales training? Critical thinking skills would improve the thought 131

processes of salespeople and meet the specific sales skills researched by Churchill et al. (1985) and Cron et al. (2005). There would be place for this type of training; however, it would require additional effort to integrate TLT in a more practical manner. The following discussion proposes one solution that combines premise reflection with process consultation. The training solution would also be interactive, making it amenable to adult learning preferences. King and Kitchener (1994) identified reflective judgment as the capacity to engage in criticaldialectical discourse involving the assessment of assumptions and expectations supporting beliefs, values, and feelings. These adult capabilities are indispensable conditions for fully understanding the meaning of ones experience and effective rational adult reasoning in critical discourse and communicative learning. King and Kitchener (1994, p. 73) also asserted that the highest stage of reflective judgment takes place when individuals with fully differentiated abstract categories see the problematic nature of controversies. The dissonance involved in understanding that a true problem exists causes them to become active inquirers as well as developers of new hypotheses. They suggested that individuals in the final stage of reflective judgment are capable of evaluating their own perspectives, which is an essential condition for transformational learning. Therefore reflection plays a crucial role in perspective transformation. This definition may be the point where TLT can be made applicable to the general population, while still meeting its theoretical tenets. According to Mezirow (1978b), individuals resist learning anything that does not readily fit their meaning structures. People, however, have a strong need to understand the meaning of their experience, so they strive toward viewpoints that are more 132

functional, inclusive, and integrative of their experience. He also stated that meaning structures that are not working effectively for peoples benefit can be transformed through reflection on unexamined assumptions and beliefs. The reflection may be on the content of the problem, the process of problem solving, or the premise of the problem. Premise reflection that transforms meaning perspectives is the less common, but more significant, learning experience. This learning process, therefore, may be the result of a major event or the accumulative result of related transformations in meaning schemes. Transferring this perspective transformation process to a sales environment can be accomplished by considering the possible epistemic, sociolinguistic, and psychological meaning structures of a salesperson. Epistemic views include knowledge and its use, sociolinguistic views comprise social norms, and psychological views are about personal selves. Therefore a salesperson confronted with a dilemma could reflect on his or her knowledge or training, how the person views his or her role as a salesperson, or how the person views himself or herself as a salesperson. Going a step further, Cranton (1994) suggested that one may also reflect on instrumental, communicative, and emancipatory learning domains. Furthermore, content, process, and premise reflection involves asking what, how, and why questions. Therefore, a salesperson can reflect on his or her training or knowledge, his or her performance, or his or her perception of himself or herself. This definition of reflection on ones practice suggests a process that is more positive and practical. A salesperson is more apt to reflect on his or her past performance or on how he or she plans to improve his or her future conditions. In a sense, this takes on more of what Cooperrider and Whitney (2005) called an appreciative inquiry approach to a persons own development. 133

This process or premise reflection, rather than critical thinking or critical assessment of assumptions, may still require the assistance of helpers to uncover those assumptions that remain hidden. This is the point at which training would support an individuals growth. Mezirow (1990) defined this emancipatory education as an organized effort to precipitate or to facilitate transformative learning in others (p. xvi). The work of Schein (1988) produced what he called process consultation as a helping relationship that will provide the necessary support from helpers to assist in this training. Premise Reflection Meets Process Consultation A well-known quotation from Kahlil Gibrans The Prophet admonishes, If he is indeed wise he does not bid you enter the house of his wisdom, but rather leads you to the threshold of your own mind. A technology for helping salespeople investigate their assumptions may rest in what Cranton (1994) referred to as premise reflection and what Schein (1988) popularized as process consultation. Schein suggested that the only thing required for the process to begin constructively is some intent on the part of someone to improve the way a system is operating. Therefore process consultation provides a unique mechanism of permitting a joint diagnosis: It is a key assumption underlying [process consultation] that the client must learn to see the problem for himself by sharing in the diagnostic process and be actively involved in generating a remedy (p. 9). Furthermore, process consultation is the key philosophical underpinning to organizational learning and development in that most of what the consultant does in helping organizations is based on the central assumption that one can only help a human system to help itself (Schein, 1999, p. 1). It is a philosophy of helping and a technology

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or methodology of how to be helpful. It is about the psychological and sociological insight into the dynamics of the helping relationship (Schein, 1999, p. xi). Sales managers, training departments, or other salespeople trained in the art of process consultation can implement the sessions. Through this training, salespeople will have the opportunity to experience a different type of training that is uniquely designed for their specific situation. This training holds the potential of being a friendly, engaging process, in which salespeople are asked to inquire into their own analysis of their performance. It can be performed by looking into the future or in retrospect. They are asked what they intend to achieve as well as what they did achieve as a result of their intentions. At a moment in time, they will be placed in a state of neutrality, being asked to look both backward and forward at almost the same time. The intersection is the manifestation of reality, their sales production, created by their own thoughts, and the premises on which they were developed. This evaluation would be an exercise of mind, exploring the mind and the hunting of its own assumptions. Most salespeople are in business for themselves, so in some respect, this analysis would be similar to a strengths, weaknesses, opportunities, and threats (SWOT) analysis that a business conducts as strategic planning. External environmental conditions represent the opportunities and threats, while internal resources represent the strengths and weaknesses. These strengths and weaknesses are the inventory of ones thoughts, beliefs, and assumptions as well as the evaluation of whether they serve or impede intended outcomes.

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According to Mezirow (1978b), individuals pattern their lives based on cultural and psychological assumptions. Becoming critically aware of these assumptions is how an individual learns to identify meaning perspectives: A meaning perspective refers to the structure of cultural assumptions within which new experience is assimilated toand transformed byones past experience. . . . It is a personal paradigm for understanding ourselves, and our relationships (p. 101). Salespeople in highly competitive industries frequently work under pressure, especially when they are new, and can benefit greatly by constantly being aware of their own personal paradigms and meaning perspectives.

Recommendations for Future Research The 10-phase perspective transformation model should be tested under more certain and stable economic conditions. A quantitative study could further validate the model within a specific company, with the results correlated to the sales performance of salespeople over a specified period. Additionally, because the researcher conducted this study independently, it would be beneficial if additional research was conducted by others. Such research would allow for a different methodology that would offer additional data. Research on the various phases would also be helpful to determine methods that would enhance the results of an individual going through the process or to maximize the effectiveness of specific phases. Phase 1 could also include internal motivation as a criterion, in addition to the external motivation caused by the disorienting dilemma. A comparison of results based on internal and external motivation factors may indicate if one is more effective for producing increased sales production. 136

This study revealed that salespeople are actively engaged in various types of formal and informal learning. A study designed to determine how salespeople decide what type of training they select and how much time they devote to learning would be beneficial. Formal and informal learning by salespeople as well as sales training methods should be evaluated with a return on investment formula based on increasing profitable sales. The time salespeople spend in training is crucial because in most instances, it will directly reduce the amount of selling activity. Tracking the number of hours spent in training and the specific types of training would lead to greater effectiveness of all methods. TLT may produce a superior outcome compared to traditional sales training systems. Finally, this research focused on how training that pertains to the transformation of the salesperson will lead to increased productivity. Some of the interviews revealed how participants that were new in their industry sounded less than genuine when describing some of their services. They sounded as if they were attempting to borrow stories from veterans in their office and were talking beyond their experience. This would also be detrimental if prospects sensed this lack of credibility during a presentation. Therefore, additional research could be conducted that investigates how training in highly competitive industries may actually contribute to the high turnover rate of new salespeople. TLT is an effective adult learning theory that would be beneficial in sales environments. Companies need to provide quality services that meet the needs of consumers to provide good value. However, the pivotal point for success is the intersection of the consumer and the sales rep. Training that includes TLT will focus on 137

the development of the salesperson and lead to improved results. The sales rep will also become more effective in managing their personal and professional development during this process. Salespeople capable of using critical thinking and self-directed learning methods will become more effective than reps relying only on technical selling skills training.

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APPENDIX A: A CHARTER FOR ANDRAGOGY The following excerpt is taken from A Critical Theory of Adult Learning and Education, by J. Mezirow, 1981, Adult Education Quarterly, 32, pp. 2122: Andragogy, as a professional perspective of adult educators, must be defined as an organized and sustained effort to assist adults to learn in a way that enhances their capability to function as self-directed learners. To do this it must: 1. progressively decrease the learners dependency on the educator; 2. help the learner understand how to use learning resources-especially the experience of others, including the educator, and how to engage others in reciprocal learning relationships; 3. assist the learner to define his/her learning needs-both in terms of immediate awareness and of understanding the cultural and psychological assumptions influencing his/her perceptions of needs; 4. assist learners to assume increasing responsibility for defining their learning objectives, planning their own learning program and evaluating their progress; 5. organize what is to be learned in relationship to his/her current personal problems, concerns and levels of understanding; 6. foster learner decision making-select learner-relevant learning experiences which require choosing, expand the learners range of options, facilitate taking the perspectives of others who have alternative ways of understanding; 7. encourage the use of criteria for judging which are increasingly inclusive and differentiating in awareness, self-reflexive and integrative of experience;

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8. foster a self-corrective reflexive approach to learning-to typifying and labeling, to perspective taking and choosing, and to habits of learning and learning relationships; 9. facilitate problem posing and problem solving, including problems associated with the implementation of individual and collective action; recognition of relationship between personal problems and public issues; 10. reinforce the self-concept of the learner as a learner and doer by providing for progressive mastery; a supportive climate with feedback to encourage provisional efforts to change and to take risks; avoidance of competitive judgment of performance; appropriate use of mutual support groups; 11. emphasize experiential, participative and projective instructional methods; appropriate use of modeling and learning contracts; 12. make the moral distinction between helping the learner understand his/her full range of choices and how to improve the quality of choosing vs encouraging the learner to make a specific choice.

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APPENDIX B. INTERVIEW QUESTIONNAIRE Gender M F

Age Category A) 2029 B) 3039 C) 4049 D) 5060 E) Over 60

Percentage increase or decrease in sales over the past year _______ (approximate)

The current economy is presenting a very challenging environment for many sales professionals. As you look back over the past year, consider how these conditions have affected you, and how you have responded to them.

Please respond to the following questions by placing an X in front of your answer.

1a. The economic conditions over the past year have had a severe impact on my business. Strongly Agree Agree Disagree 148 Strongly Disagree

1b. This has been a challenging time, but it has not been overly burdensome. Strongly Agree Agree Disagree Strongly Disagree

1c. The economy (plus, perhaps, other issues) has caused what I would consider a personal crisis at some time over the past year. Strongly Agree Agree Disagree Strongly Disagree

2. I have experienced strong emotions, such as fear, anger, guilt, or shame, because of the situation. Strongly Agree Agree Disagree Strongly Disagree

3. I have used critical thinking to analyze the situation and my role as a salesperson. Strongly Agree Agree Disagree Strongly Disagree

3a. Critical thinking led me to realize that I was making assumptions that were not necessarily accurate (i.e., about the situation, my job, or myself). Strongly Agree Agree Disagree Strongly Disagree

3b. I realized that changing these assumptions could change the results I was getting. Strongly Agree Agree Disagree Strongly Disagree

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4. I recognized that my situation was not unique because I knew others who were experiencing similar challenges. Strongly Agree Agree Disagree Strongly Disagree

5. I have explored options to change my situation by considering new opportunities, developing new relationships, or performing new actions (personal and professional development activities) to improve my situation. Strongly Agree Agree Disagree Strongly Disagree

6. I have decided on a plan (plans) of action. Strongly Agree Agree Disagree Strongly Disagree

7. Acquiring new knowledge and skills was necessary to make this change possible. Strongly Agree Agree Disagree Strongly Disagree

7a. Training or learning was necessary in order to make this change. Strongly Agree Agree Disagree Strongly Disagree

8. I have started trying new techniques or have made changes because of this plan of action. Strongly Agree Agree Disagree Strongly Disagree

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9. I have noticed increased self-confidence and competence during this process. Strongly Agree Agree Disagree Strongly Disagree

10. I have an improved self-perspective because of my ability to meet this challenge through this process. Strongly Agree Agree Disagree Strongly Disagree

Open-Ended Questions 1. Did you find any role models during this process? Has anyone supported you in this process? 2. Did you reevaluate your assumptions about sales or your abilities, priorities, or goals? 3. What options did you consider to change your situation? 4. What decisions did you make for planning a course of action? 5. What type of learning did you engage to change your situation? Have you stimulated learning by reading, training, hiring a coach, or other means? 6. How did you try out new roles or practice what you were learning? 7. Did you have to practice to gain competence, or did things immediately change? 8. Do you perceive your role now in a different way than you perceived it before the growth? How? Do you feel more confident? Do you have a greater sense of self-esteem?

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