Delphi technique rowe wright


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Delphi technique rowe wright

  1. 1. International Journal of Forecasting 15 (1999) 353–375 / locate / ijforecast The Delphi technique as a forecasting tool: issues and analysis a, b Gene Rowe *, George Wright a Institute of Food Research, Norwich Research Park, Colney, Norwich NR4 7 UA, UK b Strathclyde Graduate Business School, Strathclyde University, 199 Cathedral Street, Glasgow G4 0 QU, UKAbstract This paper systematically reviews empirical studies looking at the effectiveness of the Delphi technique, and provides acritique of this research. Findings suggest that Delphi groups outperform statistical groups (by 12 studies to two with two‘ties’) and standard interacting groups (by five studies to one with two ‘ties’), although there is no consistent evidence thatthe technique outperforms other structured group procedures. However, important differences exist between the typicallaboratory version of the technique and the original concept of Delphi, which make generalisations about ‘Delphi’ per sedifficult. These differences derive from a lack of control of important group, task, and technique characteristics (such as therelative level of panellist expertise and the nature of feedback used). Indeed, there are theoretical and empirical reasons tobelieve that a Delphi conducted according to ‘ideal’ specifications might perform better than the standard laboratoryinterpretations. It is concluded that a different focus of research is required to answer questions on Delphi effectiveness,focusing on an analysis of the process of judgment change within nominal groups. © 1999 Elsevier Science B.V. All rightsreserved.Keywords: Delphi; Interacting groups; Statistical group; Structured groups1. Introduction been largely inappropriate, such that our knowledge about the potential of Delphi is still poor. In essence, Since its design at the RAND Corporation over 40 this paper relates a critique of the methodology ofyears ago, the Delphi technique has become a widely evaluation research and suggests that we will acquireused tool for measuring and aiding forecasting and no great knowledge of the potential benefits ofdecision making in a variety of disciplines. But what Delphi until we adopt a different methodologicaldo we really understand about the technique and its approach, which is subsequently detailed.workings, and indeed, how is it being employed? Inthis paper we adopt the perspective of Delphi as ajudgment or forecasting or decision-aiding tool, and 2. The nature of Delphiwe review the studies that have attempted to evaluateit. These studies are actually sparse, and, we will The Delphi technique has been comprehensivelyargue, their attempts at evaluating the technique have reviewed elsewhere (e.g., Hill & Fowles, 1975; ´ Linstone & Turoff, 1975; Lock, 1987; Parente & *Corresponding author. Tel.: 144-1603-255-125. ´ Anderson-Parente, 1987; Stewart, 1987; Rowe, E-mail address: (G. Rowe) Wright & Bolger, 1991), and so we will present a0169-2070 / 99 / $ – see front matter © 1999 Elsevier Science B.V. All rights reserved.PII: S0169-2070( 99 )00018-7
  2. 2. 354 G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375brief review only. The Delphi technique was de- invalid criteria (such as the status of an idea’sveloped during the 1950s by workers at the RAND proponent). Furthermore, with the iteration of theCorporation while involved on a U.S. Air Force questionnaire over a number of rounds, the indi-sponsored project. The aim of the project was the viduals are given the opportunity to change theirapplication of expert opinion to the selection – from opinions and judgments without fear of losing face inthe point of view of a Soviet strategic planner – of the eyes of the (anonymous) others in the optimal U.S. industrial target system, with a Between each questionnaire iteration, controlledcorresponding estimation of the number of atomic feedback is provided through which the group mem-bombs required to reduce munitions output by a bers are informed of the opinions of their anonymousprescribed amount. More generally, the technique is colleagues. Often feedback is presented as a simpleseen as a procedure to ‘‘obtain the most reliable statistical summary of the group response, usuallyconsensus of opinion of a group of experts . . . by a comprising a mean or median value, such as theseries of intensive questionnaires interspersed with average ‘group’ estimate of the date by when ancontrolled opinion feedback’’ (Dalkey & Helmer, event is forecast to occur. Occasionally, additional1963, p. 458). In particular, the structure of the information may also be provided, such as argumentstechnique is intended to allow access to the positive from individuals whose judgments fall outside cer-attributes of interacting groups (knowledge from a tain pre-specified limits. In this manner, feedbackvariety of sources, creative synthesis, etc.), while comprises the opinions and judgments of all grouppre-empting their negative aspects (attributable to members and not just the most vocal. At the end ofsocial, personal and political conflicts, etc.). From a the polling of participants (i.e., after several roundspractical perspective, the method allows input from a of questionnaire iteration), the group judgment islarger number of participants than could feasibly be taken as the statistical average (mean / median) of theincluded in a group or committee meeting, and from panellists’ estimates on the final round. The finalmembers who are geographically dispersed. judgment may thus be seen as an equal weighting of Delphi is not a procedure intended to challenge the members of a staticized group.statistical or model-based procedures, against which The above four characteristics are necessary defin-human judgment is generally shown to be inferior: it ing attributes of a Delphi procedure, although thereis intended for use in judgment and forecasting are numerous ways in which they may be applied.situations in which pure model-based statistical The first round of the classical Delphi proceduremethods are not practical or possible because of the (Martino, 1983) is unstructured, allowing the in-lack of appropriate historical / economic / technical dividual experts relatively free scope to identify, anddata, and thus where some form of human judg- elaborate on, those issues they see as important.mental input is necessary (e.g., Wright, Lawrence & These individual factors are then consolidated into aCollopy, 1996). Such input needs to be used as single set by the monitor team, who produce aefficiently as possible, and for this purpose the structured questionnaire from which the views, opin-Delphi technique might serve a role. ions and judgments of the Delphi panellists may be Four key features may be regarded as necessary elicited in a quantitative manner on subsequentfor defining a procedure as a ‘Delphi’. These are: rounds. After each of these rounds, responses areanonymity, iteration, controlled feedback, and the analysed and statistically summarised (usually intostatistical aggregation of group response. Anonymity medians plus upper and lower quartiles), which areis achieved through the use of questionnaires. By then presented to the panellists for further considera-allowing the individual group members the oppor- tion. Hence, from the third round onwards, panelliststunity to express their opinions and judgments are given the opportunity to alter prior estimates onprivately, undue social pressures – as from dominant the basis of the provided feedback. Furthermore, ifor dogmatic individuals, or from a majority – should panellists’ assessments fall outside the upper orbe avoided. Ideally, this should allow the individual lower quartiles they may be asked to give reasonsgroup members to consider each idea on the basis of why they believe their selections are correct againstmerit alone, rather than on the basis of potentially the majority opinion. This procedure continues until
  3. 3. G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375 355a certain stability in panellists’ responses is achieved. of controlled experimentation or academic inves-The forecast or assessment for each item in the tigation that has taken place . . . (and that) asidequestionnaire is typically represented by the median from some RAND studies by Dalkey, most ‘evalua-on the final round. tions’ of the technique have been secondary efforts An important point to note here is that variations associated with some application which was thefrom the above Delphi ideal do exist (Linstone, primary interest’’ (p. 11). Indeed, the relative paucity1978; Martino, 1983). Most commonly, round one is of evaluation studies noted by Linstone and Turoff isstructured in order to make the application of the still evident. Although a number of empirical exami-procedure simpler for the monitor team and panel- nations have subsequently been conducted, the bulklists; the number of rounds is variable, though of Delphi references still concern applications ratherseldom goes beyond one or two iterations (during than evaluations. That is, there appears to be awhich time most change in panellists’ responses widespread assumption that Delphi is a useful instru-generally occurs); and often, panellists may be asked ment that may be used to measure some kind of truthfor just a single statistic – such as the date by when and it is mainly represented in the literature in thisan event has a 50% likelihood of occurring – rather vein. Consideration of what the evaluation studiesthan for multiple figures or dates representing de- actually tell us about Delphi is the focus of thisgrees of confidence or likelihood (e.g., the 10% and paper.90% likelihood dates), or for written justifications ofextreme opinions or judgments. These simplificationsare particularly common in laboratory studies and 4. Evaluative studies of Delphihave important consequences for the generalisabilityof research findings. We attempted to gather together details of all published (English-language) studies involving evaluation of the Delphi technique. There were a3. The study of Delphi number of types of studies that we decided not to include in our analysis. Unpublished PhD theses, Since the 1950s, use of Delphi has spread from its technical reports (e.g., of the RAND Corporation),origins in the defence community in the U.S.A. to a and conference papers were excluded because theirwide variety of areas in numerous countries. Its quality is less assured than peer-reviewed journalapplications have extended from the prediction of articles and (arguably) book chapters. It may also belong-range trends in science and technology to argued that if the studies reported in these excludedapplications in policy formation and decision mak- formats were significant and of sufficient quality thening. An examination of recent literature, for example, they would have appeared in conventional publishedreveals how widespread is the use of Delphi, with form.applications in areas as diverse as the health care We searched through nine computer databases:industry (Hudak, Brooke, Finstuen & Riley, 1993), ABI Inform Global, Applied Science and Technolo-marketing (Lunsford & Fussell, 1993), education gy Index, ERIC, Transport, Econlit, General Science(Olshfski & Joseph, 1991), information systems Index, INSPEC, Sociofile, and Psychlit. As search(Neiderman, Brancheau & Wetherbe, 1991), and terms we used: ‘Delphi and Evaluation’, ‘Delphi andtransportation and engineering (Saito & Sinha, Experiment’, and ‘Delphi and Accuracy’. Because1991). our interest is in experimental evaluations of Delphi, Linstone and Turoff (1975) characterised the we excluded any ‘hits’ that simply reported Delphigrowth of interest in Delphi as from non-profitmak- as used in some application (e.g., to ascertain experting organisations to government, industry and, final- views on a particular topic), or that omitted keyly, to academe. This progression caused them some details of method or results because Delphi per seconcern, for they went on to suggest that the was not the focus of interest (e.g., Brockhoff, 1984).‘explosive growth’ in Delphi applications may have Several other studies were excluded because weappeared ‘‘ . . . incompatible with the limited amount believe they yielded no substantial findings, or
  4. 4. 356 G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375because they were of high complexity with uncertain authors whether there were any evaluative studiesfindings. For example, a paper by Van Dijk (1990) that we had overlooked. The eight replies caused useffectively used six different Delphi-like techniques to make two minor changes to our tables. None ofthat differed in terms of the order in which each of the replies noted evaluative studies of which we werethree forms of panellist interaction were used in each unaware.of three ‘Delphi’ rounds, resulting in a highly Details of the Delphi evaluative studies are sum-complex, difficult to encode and, indeed, difficult to marised in Tables 1 and 2. Table 1 describes theinterpret study. characteristics of each experimental scenario, includ- The final type of studies that we excluded from ing the nature of the task and the way in whichour search ‘hits’ were those that considered the Delphi was constituted. Table 2 reports the findingsuniversal validity or reliability of Delphi without of the studies plus ‘additional comments’ (which alsoreference to control conditions or other techniques. concern details in Table 1). Ideally, the two tablesFor example, the study of Ono and Wedermeyer should be joined to form one comprehensive table,(1994) reported that a Delphi panel produced fore- but space constraints forced the division.casts that were over 50% accurate, and used this as We have tried to make the tables as comprehen-‘evidence’ that the technique is somehow a valid sive as possible without obscuring the main findingspredictor of the future. However, the validity of the and methodological features by descriptions of minortechnique, in this sense, will depend as much on the or coincidental results and details, or by repetition ofnature of the panellists and the task as on the common information. For example, a number oftechnique itself, and it is not sensible to suggest that Delphi studies used post-task questionnaires to assessthe percentage accuracy achieved here is in any way panellists’ reactions to the technique, with individualgeneralisable or fundamental (i.e., to suggest that questions ranging from how ‘satisfied’ subjects feltusing Delphi will generally result in 50% correct about the technique, to how ‘enjoyable’ they found itpredictions). The important questions – not asked in (e.g., Van de Ven & Delbecq, 1974; Scheibe et al.,this study – are whether the application of the 1975; Rohrbaugh, 1979; Boje & Murnighan, 1982).technique helped to improve the forecasting of the Clearly, to include every analysis or significantindividual panellists, and how effective the technique correlation involving such measures would result inwas relative to other possible forecasting procedures. an unwieldy mass of data, much of which has littleSimilarly, papers by Felsenthal and Fuchs (1976), theoretical importance and is unlikely to be repli-Dagenais (1978), and Kastein, Jacobs, van der Hell, cated or considered in future studies. We have alsoLuttik and Touw-Otten (1993) – which reported data been constrained by lack of space: so, while we haveon the reliability of Delphi-like groups – are not attempted to indicate how aspects such as theconsidered further, for they simply demonstrate that dependent variables were measured (Table 2), wea degree of reliability is possible using the technique. have generally been forced to give only brief de- The database search produced 19 papers relevant scriptions in place of the complex scoring formulaeto our present concern. The references in these used. In other cases where descriptions seem overlypapers drew our attention to a further eight studies, brief, the reader is referred to the main text whereyielding 27 studies in all. Roughly following the matters are explained more fully.procedure of Armstrong and Lusk (1987), we sent Regarding Table 1, the studies have been classi-out information to the authors of these papers. We fied according to their aims and objectives as ‘Appli-identified the current addresses of the first-named cation’, ‘Process’ or ‘Technique-comparison’ type.authors of 25 studies by using the ISI Social Citation Application studies use Delphi in order to gaugeIndex database. We produced five prototype tables expert opinion on a particular topic, but considersummarising the methods and findings of these issues on the process or quality of the technique as aevaluative papers (discussed shortly), which we secondary concern. Process studies focus on aspectsasked the authors to consider and comment upon, of the internal features of Delphi, such as the role ofparticularly with regard to our coding and interpreta- feedback, the impact of the size of Delphi groups,tion of each author’s own paper. We also asked the and so on. Technique-comparison studies evaluate
  5. 5. Table 1Summary of the methodological features of Delphi in experimental studies aStudy Study Delphi Rounds Nature of Delphi Nature of Task Incentives G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375 type group size feedback subjects offered?Dalkey and Helmer (1963) Application 7 5 Individual estimates Professionals: e.g., economists, Hypothetical event: number of No (process) (bombing schedules) systems analysts, electronic bombs to reduce munitions engineer output by stated amountDalkey, Brown and Cochran (1970) Process 15–20 2 Unclear Students: no expertise on task Almanac questions (20 per No group, 160 in total)Jolson and Rossow (1971) Process 11 and 14 3 Medians (normalised Professionals: computing corporation Forecast (demand for classes: No probability medians) staff, and naval personnel one question) Almanac (two questions)Gustafson, Shukla, Delbecq and Walster (1973) Technique 4 2 Individual estimates Students: no expertise on task Almanac (eight questions requiring No comparison (likelihood ratios) probability estimates in the form of likelihood ratios)Best (1974) Process 14 2 Medians, range of estimates, Professionals: faculty members Almanac (two questions requiring No distributions of expertise of college numerical estimates of known ratings, and, for one group, quantity), and Hypothetical event reasons (one probability estimation)Van de Ven and Delbecq (1974) Technique 7 2 Pooled ideas of group Students (appropriate expertise), Idea generation (one item: defining No comparison members Professionals in education job description of student dormitory counsellors)Scheibe, Skutsch and Schofer (1975) Process Unspecified 5 Means, frequency Students (uncertain expertise Goals Delphi (evaluating No (possibly 21) distribution, reasons (from on task) hypothetical transport facility Ps distant from mean) alternatives via rating goals)Mulgrave and Ducanis (1975) Process 98 3 Medians, interquartile Students enrolled in Educational Almanac (10 general, and 10 No range, own responses to Psychology class (most of related to teaching) and Hypo- previous round whom were school teachers) thetical (18 on what values in U.S. will be, and then should be) 357
  6. 6. 358Table 1. ContinuedStudy Study Delphi Rounds Nature of Delphi Nature of Task Incentives type group size feedback subjects offered?Brockhoff (1975) Technique 5, 7, 9, 11 5 Medians, reasons (of Professionals: banking Almanac and Forecasting Yes comparison, those with responses (8–10 items on finance, banking, Process outside of quartiles) stock quotations, foreign trade, for each type)Miner (1979) Technique 4 Up to 7 Not specified Students: from diverse Problem Solving (role-playing No comparison undergrad populations exercise assigning workers to subassembly positions)Rohrbaugh (1979) Technique 5–7 3 Medians, ranges Students (appropriate expertise) Forecasting (college performance No comparison re grade point average of 40 freshmen)Fischer (1981) Technique 3 2 Individual estimates Students (appropriate expertise) Giving probability of grade point Yes comparison (subjective probability averages of 10 freshmen falling distributions) in four rangesBoje and Murnighan (1982) Technique 3, 7, 11 3 Individual estimates, Students (no expertise on task) Almanac (two questions Jupiter and No comparison one reason from each P Dollars) and Subjective Likelihood (process) (two questions: Weight and Height)Spinelli (1983) Application 20 4 Modes (via histogram), Professionals: education Forecasting (likelihood of 34 No (process) (24 initially) distributions, reasons education-related events occurring in 20 years, on 1–6 scale) ´Larreche and Moinpour (1983) Technique 5 4 Means, lowest and MBA students (with some Forecasting (market share of No comparison highest estimates, expertise in business area product based on eight communications reasons of task) plans; historical data provided)Riggs (1983) Technique 4–5 2 Means (of point spreads) Students Forecasting (point spreads of two No G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375 comparison college football games taking place 4 weeks in future) ´Parente et al. (1984) Process 80 2 Percentage of group who Students Forecasting (30 scenarios on No predicted event to occur, economic, political and median time scale military events)Erffmeyer and Lane (1984) Technique 4 6 Individual estimates Students (no expertise on task) Hypothetical event (Moon Survival No comparison (ranks), reasons Problem, involving ranking 15 items for survival value)
  7. 7. Erffmeyer, Erffmeyer and Lane (1986) Process 4 6 Individual estimates Students (no expertise on task) Hypothetical event (Moon Survival No (ranks), reasons Problem, involving ranking 15 items for survival value)Dietz (1987) Process 8 3 Mean, median, upper and Students: state government Forecasting (proportion of No lower quantities, plus analysts or employed in citizens voting yes on ballot justifications on r3 public sector firms in California election)Sniezek (1989) Technique 5 Varied Medians Students (no expertise on task) Forecasting (of dollar amount of Yes comparison #5 next month’s sales at campus store re four categories of items)Sniezek (1990) Technique 5 ,6 Medians Students (no expertise on task) Forecasting (five items concerned Yes comparison with economic variables: forecasts were for 3 months in the future)Taylor, Pease and Reid (1990) Process 59 3 Individual responses (i.e. Elementary school Policy (identifying the qualities of No chosen characteristics) teachers effective inservice program: determining top seven characteristics)Leape, Freshour, Yntema and Hsiao (1992) Technique 19, 11 2 and 3 Distribution of Surgeons Policy (judged intraservice work No comparison numerical evaluations required to perform each of 55 of each of the 55 items services, via magnitude estimation)Gowan and McNichols (1993) Process 15 in r1 3 Response frequency or Bank loan officers and Hypothetical event (evaluation of No (application) regression weights or small business consultants likelihood of a company’s induced (if-then) rules economic viability in future)Hornsby, Smith and Gupta (1994) Technique 5 3 Statistical average of Students (no particular expertise Policy (evaluating four jobs using the No comparison points for each factor but some task training) nine-factor Factor Evaluation System)Rowe and Wright (1996) Process 5 2 Medians, individual Students (no particular expertise Forecasting (of 15 political No numerical responses, though items selected to be and economic events for reasons pertinent to them) 2 weeks into future) G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375 a *Analysis significant at the P , 0.05 level; NS, analysis not significant at the P , 0.05 level (trend only); NDA, no statistical analysis of the noted relationship was reported; ., greater/better than; 5, no (statistically significant)difference between; D, Delphi; R, first round average of Delphi polls; S, staticized group approach (average of non-interacting set of individuals). When used, this indicates that separate staticized groups were used instead of (or inaddition to) the average of the individual panellists from the first round Delphi polls (i.e., instead of/in addition to ‘R’); I, interacting group; NGT, Nominal Group Technique; r, ‘round’; P, ‘panellist’; NA, not applicable. 359
  8. 8. 360Table 2Results of the experimental Delphi studies aStudy Independent Dependent Results of technique Other results, Additional comments variables variables comparisons e.g. re processes (and levels)b,c (and measures)Dalkey and Helmer (1963) Rounds Convergence (difference in NA Increased convergence (consensus) A complex design where quantitative feedback estimates over rounds) over rounds (NDA) from panellists was only supplied in round 4, and from only two other panellistsDalkey et al. (1970) Rounds Accuracy (logarithm of median group Accuracy: D.R (NDA) High self-rated knowledgeability was Little statistical analysis reported. estimate divided by true answer) positively related to accuracy (NDA) Little detail on experimental method, e.g. no clear Self-rated knowledge (1–5 scale) description of round 2 procedure, or feedbackJolson and Rossow (1971) Expertise (experts vs. non-experts) Accuracy (numerical estimates on the Accuracy: D.R (experts) (NDA) Increased consensus over rounds*. Often reported study. Used a small sample, Rounds two almanac questions only). Accuracy: D,R (non-experts) (NDA) Claimed relationship between high r1 accuracy so little statistical analysis was possible Consensus (distribution of P responses) and low variance over rounds (‘significant’)Gustafson et al. (1973) Techniques (NGT, I, D, S) Accuracy (absolute mean percentage Accuracy: NGT.I.S.D (* for techniques) NA Information given to all panellists to control Rounds error). Accuracy: D,R (NS) for differences in knowledge. This approach Consensus (variance of estimates Consensus: NGT5D5I5S seems at odds to rationale of using Delphi with across groups) heterogenous groupsBest (1974) Feedback (statistic vs. reasons) Accuracy (absolute deviation of Accuracy: D.R* High self-rated expertise positively related Self-rated expertise was used as both a Self-rated expertise (high vs. low) assessments from true value). Accuracy: D(1reasons).D(no reasons)* to accuracy, and sub-groups of self-rated dependent and independent variable Rounds Self-rated expertise (1–11 scale) (for one of two items) experts more accurate than non-experts*Van de Ven and Delbecq (1974) Techniques (NGT, I, D) Idea quantity (number of unique ideas). Number of ideas: D.I*; NGT.D (NS) NA Two open-ended questions were also asked Satisfaction (five items rated on 1–5 scales). Satisfaction: NGT.D*, I* about likes and dislikes concerning the Effectiveness (composite measure of idea Effectiveness: NGT*, D*.I procedures quantity and satisfaction, equally weighted)Scheibe et al. (1975) Rating scales (ranking, rating- Confidence (assessed by seven item NA Little evidence of correlation between response Poor design meant nothing could be concluded scales method, and pair comparisons) questionnaire) change and low confidence, except in r2(*). about consistency of using different rating scales. G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375 Rounds Change (five aspects, e.g. from r1 to r2) False feedback initially drew responses to it (NDA) Missing information on design detailsMulgrave and Ducanis (1975) Expertise (e.g., on items about Change (% changing answers) NA High dogmatism related to high change over A brief study, with little discussion of the teaching Ps considered expert, Dogmatism (on Rokeach Dogmatism rounds*, most evident on items on which the unexpected/counter-intuitive results on general items they non-expert) Scale) most dogmatic were relatively inexpert Rounds
  9. 9. Brockhoff (1975) Techniques (D, I) Accuracy (absolute error) Accuracy: D.I (almanac items) (NDA) No clear results on influence of group size. Significant differences in accuracy of groups Group size (5, 7, 9, 11, D; 4, 6, 8, 10, I) Self-rated expertise (1–5 scale) Accuracy: I.D (forecast items) (NDA) Self-rated expertise not related to accuracy of different sizes were due to differences in Item type (forecasting vs. almanac) Accuracy: D.R (NS) initial accuracy of groups at round 1 Rounds (Accuracy increased to r3; then decreased)Miner (1979) Techniques (NGT, D, PCL) Accuracy/Quality (index from 0.0 to 1.0) Accuracy: PCL.NGT.D (NS) NA Effectiveness was determined by the product Acceptance (11 statement q’naire) Acceptance: D5NGT5PCL of quality (accuracy) and acceptance Effectiveness (product of other indexes) Effectiveness: PCDL.D*, NGT*Rohrbaugh (1979) Techniques (D, SJ) Accuracy (correlation with solution) Accuracy: D5SJ Quality of decisions of individuals increased only Delphi groups instructed to reduced existing Post-group agreement (difference between Post-group agreement: SJ.D (‘significant’) slightly after the group Delphi process differences over rounds. Agreement concerns group and individual post-group policy) Satisfaction: SJ.D (‘significant’)* degree to which panellists agreed with each other Satisfaction (0–10 scale) after group process had ended (post-task rating)Fischer (1981) Techniques (NGT, D, I, S) Accuracy (according to truncated Accuracy: D5NGT5I5S NA logarithmic scoring rule) (Procedures Main Effect: P . 0.20)Boje and Murnighan (1982) Techniques (NGT, D, Iteration) Accuracy (deviation of gp mean from Accuracy: R.D, NGT No relationship between group size and Compared Delphi to an NGT procedure and to Group size (3, 7, 11) correct answer) Accuracy: Iteration procedure.R accuracy or confidence. an iteration (no feedback) procedure Rounds Confidence (1–7 scale) (Procedures3Trials was significant)* Confidence in Delphi increased over rounds* Satisfaction (responses on 10 item q’naire)Spinelli (1983) Rounds Convergence (e.g., change in NA No convergence over rounds No quoted statistical analysis. interquartile range) In r3 and r4, Ps encouraged to converge towards majority opinion! ´Larreche and Moinpour (1983) Techniques (D, I) Accuracy (Mean Absolute Percentage Error) Accuracy: D.R* Expertise assessed by self-rating had no significant A measure of confidence was taken as synonymous Rounds Expertise (via (a) Confidence in estimates, Accuracy: D.I* validity, but did when assessed by an with expertise. Evidence that composing (b) external measure) Accuracy: R5I external measure.* Aggregate of latter ‘experts’ Delphi groups of the best (externally-rated) increased accuracy over other Delphi groups* experts may improve judgementRiggs (1983) Techniques (D, I) Accuracy (absolute difference between Accuracy: D.I* More accurate predictions were provided for the Comparison with first round not reported. Information on task (high vs. low) predicted and actual point spreads) high information game.* Delphi was more Standard information on the four teams in the accurate in both high and low information cases two games was provided ´Parente, Anderson, Feedback (yes vs. no) Accuracy (IF an event would occur; Accuracy: D.R (WHEN event occurs) Decomposition of Delphi seemed to show Three related studies reported: data here on ex3. G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375Myers and O’Brien (1984) Iteration (yes vs. no) and error in days re WHEN an event Accuracy: D5R (IF event occurs) improvement in accuracy related to the iteration Suggestion that feedback superfluous in Delphi, would occur) component, not feedback (WHEN item) however, feedback used here was superficialErffmeyer and Lane (1984) Techniques (NGT, D, I, Group Quality (comparison of rankings to ‘correct Quality: D.NGT*, I*, Guided gp* NA Acceptance bears similarity to the post-task procedure with guidelines ranks’ assigned by NASA experts) Quality: D.R*, also note: I.NGT* consensus (‘agreement’) measure of on appropriate behavior) Acceptance (degree of agreement between Acceptance: Guided gp procedure.D* Rohrbaugh (1979) Rounds an individual’s ranking and final grp ranking) 361
  10. 10. 362Table 2. ContinuedStudy Independent Dependent Results of technique Other results, Additional comments variables variables comparisons e.g. re processes (and levels)b,c (and measures)Erffmeyer et al. (1986) Rounds Quality (comparison of rankings to ‘correct Quality: D.R* Quality increased up to the fourth round, Is this an analysis of data from the study of ranks’ assigned by NASA experts) but not thereafter: ‘stability’ was achieved Erffmeyer and Lane (1984)?Dietz (1987) Weighting (using confidence vs. no) Accuracy (difference between forecast Accuracy D.R (NS) Weighted forecasts less accurate than non- Very small study with only one group of eight Summary measure (median, mean, value and actual percentage) weighted ones, though difference small. panellists, and hence it is not surprising that Hampel, biweight, trimmed mean) Confidence (1–5 scale) Differences in summary methods insignificant. statistically significant results were not achieved Rounds Least confident not most likely to change opinionsSniezek (1989) Techniques (D, I, Dictator, Dialectic) Accuracy (absolute percentage error) Accuracy: Dictator, D.I (NDA) High confidence and accuracy were correlated in Influence measure concerned extent to which an (repeated-measures design) Confidence (1–7 scale) Accuracy: D.R (NS) Delphi*. Influence in Delphi was correlated individual’s estimates drew the group judgment. Rounds Influence (difference between individual’s with confidence* and accuracy* Time-series data supplied. judgment and r1 group mean)Sniezek (1990) Techniques (D, I, S, Best Accuracy (e.g., mean forecast error) Accuracy: D.BM (one of five items) (P , 0.10) Confidence measures were not correlated to All individuals were given common information Member (BM)) Confidence (difference between upper and Accuracy: S.D (one of five items) (P , 0.10) accuracy in Delphi groups (time-series data) prior to the task. Item difficulty (mean % errors) lower limits of Ps 50% confidence intervals) No. sig. differences in other comparisons Item difficulty measured post taskTaylor et al. (1990) None Survivability (degree to which r1 contribution NA No relationship between demographic Abandonment and Survivability relate to of each P is retained in later rounds) characteristics of panellists (gender, education, influence and opinion change Abandonment (degree of Ps abandoning r1 interest, and effectiveness and contributions in favour of those of others) survivability/abandonment) Demographic factors (four types)Leape et al. (1992) Techniques (D, single round mail Agreement (compared mean of adjusted Agreement: Mail survey.D.Modified D NA Agreement was measured by comparing panel survey, moderated D with panel ratings to that gained in national survey) (Modified D included panel discussion) estimates to those from a national survey. Not a discussion) true measure of accuracyGowan and McNichols (1993) Feedback (statistical, regression Consensus (pairwise subject agreement NA If-then rule feedback gave greater consensus Accuracy was measured, but not reported in model, if-then rule feedback) after each round of decisions) than statistical or regression model feedback* this paperHornsby et al. (1994) Techniques (NGT, D, Consensus) Degree of opinion change (from averaged Opinions changed from initial evaluations NA No measure of accuracy was possible. G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375 individual evaluations to final gp evaluation) during NGT* and consensus*, but not Delphi. Consensus involves discussion until all group Satisfaction (12 item q’naire: 1–5 scale) Satisfaction: D.consensus*, NGT* members accept final decisionRowe and Wright (1996) Feedback (statistical, reasons, Accuracy (Mean Absolute Percentage Error) Accuracy: D(reas), D(start), Iterate.R (all*) Best objective experts changed least in the two Although subjects changed their forecasts less in iteration – without feedback) Opinion change (in terms of z-score measure) Accuracy: D(reas).D(start).Iteration (NS) feedback conditions*. the reasons condition, when they did so the (repeated measures design) Confidence (each item, 1–7 scale) Change: Iteration.D(start), D(reas)* High self-rated experts were most accurate on r1* new forecasts were more accurate.* This trend Rounds Self-rated expertise (one measure, 1–7 scale) but no relationship to change variable. did not occur in the other conditions, suggesting Objective expertise of Ps (via MAPES) Confidence increased over rounds in all conditions* reasons feedback helped discriminality of change a See Table 1 for explanation of abbreviations. b For the number of rounds (i.e. levels of independent variable ‘Round’), see Table 1. c In many of the studies, a number of different questions are presented to the subjects so that ‘items’ may be considered to be an independent variable. Usually, however, there is no specific rationale behind analysing responses to the different items, so we do not consider ‘items’ an I.V. here.
  11. 11. G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375 363Delphi in comparison to external benchmarks, that is, trend of reduced variance is so typical that thewith respect to other techniques or means of ag- phenomenon of increased ‘consensus’, per se, nogregating judgment (for example, interacting longer appears to be an issue of experimentalgroups). interest. In Table 2, the main findings have been coded Where some controversy does exist, however, is inaccording to how they were presented by their whether a reduction in variance over rounds reflectsauthors. In some cases, claims have been made that true consensus (reasoned acceptance of a position).an effect or relationship was found even though there Delphi has, after all, been advocated as a method ofwas no backing statistical analysis, or though a reducing group pressures to conform (e.g., Martino,statistical test was conducted but standard signifi- 1983), and both increased consensus and increasedcance levels were not reached (because of, for conformity will be manifest as a convergence ofexample, small sample sizes, e.g. Jolson & Rossow, panellists’ estimates over rounds (i.e., these factors1971). It has been argued that there are problems in are confounded). It would seem in the literature thatusing and interpreting ‘P’ figures in experiments and reduced variance has been interpreted according tothat effect sizes may be more useful statistics, the position on Delphi held by the particular author /particularly when comparing the results of indepen- s, with proponents of Delphi arguing that resultsdent studies (e.g., Rosenthal, 1978; Cohen, 1994). In demonstrate consensus, while critics have arguedmany Delphi studies, however, effect sizes are not that the ‘consensus’ is often only ‘apparent’, and thatreported in detail. Thus, Table 2 has been annotated the convergence of responses is mainly attributableto indicate whether claimed results were significant to other social-psychological factors leading to con-at the P 5 0.05 level (*); whether statistical tests formity (e.g., Sackman, 1975; Bardecki, 1984;were conducted but proved non-significant (NS); or Stewart, 1987). Clearly, if panellists are being drawnwhether there was no direct statistical analysis of the towards a central value for reasons other than aresult (NDA). Readers are invited to read whatever genuine acceptance of the rationale behind thatinterpretation they wish into claims of the statistical position, then inefficient process-loss factors are stillsignificance of findings. present in the technique. Alternative measures of consensus have been taken, such as ‘post-group consensus’. This concerns5. Findings the extent to which individuals – after the Delphi process has been completed – individually agree In this section, we consider the results obtained by with the final group aggregate, their own final roundthe evaluative studies as summarised in Table 2, to estimates, or the estimates of other panellists. Rohr-which the reader is referred. We will return to the baugh (1979), for example, compared individuals’details in Table 1 in our subsequent critique. post-group responses to their aggregate group re- sponses, and seemed to show that reduction in5.1. Consensus ‘disagreement’ in Delphi groups was significantly less than the reduction achieved with an alternative One of the aims of using Delphi is to achieve technique (Social Judgment Analysis). Furthermore,greater consensus amongst panellists. Empirically, he found that there was little increase in agreementconsensus has been determined by measuring the in the Delphi groups. This latter finding seems tovariance in responses of Delphi panellists over suggest that panellists were simply altering theirrounds, with a reduction in variance being taken to estimates in order to conform to the group withoutindicate that greater consensus has been achieved. actually changing their opinions (i.e., implying con-Results from empirical studies seem to suggest that formity rather than genuine consensus).variance reduction is typical, although claims tend to Erffmeyer and Lane (1984) correlated post-groupbe simply reported unanalysed (e.g., Dalkey & individual responses to group scores and found thereHelmer, 1963), rather than supported by analysis to be significantly more ‘acceptance’ (i.e., signifi-(though see Jolson & Rossow, 1971). Indeed, the cantly higher correlations between these measures) in
  12. 12. 364 G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375an alternative structured group technique than in a ing a final round Delphi aggregate to that of the firstDelphi procedure, although there were no differences round is thus, effectively, a within-subjects com-in acceptance between the Delphi groups and a parison of techniques (Delphi versus staticizedvariety of other group techniques (see Table 2). group); when comparison occurs between Delphi andUnfortunately, no analysis was reported on the a separate staticized group then it is a between-difference between the correlations of the post-group subjects one. Clearly, the former comparison isindividual responses and the first and final round preferable, given that it controls for the highlygroup aggregate responses. variable influence of subjects. Although the com- An alternative slant on this issue has been pro- parison of round averages should be possible invided by Bardecki (1984), who reported that – in a every study considering Delphi accuracy / quality, astudy not fully described – respondents with more number of evaluative studies have omitted to reportextreme views were more likely to drop out of a round differences (e.g., Fischer, 1981; Riggs, 1983).Delphi procedure than those with more moderate Comparisons of relative accuracy of Delphi panelsviews (i.e., nearer to the group average). This with first round aggregates and staticized groups aresuggests that consensus may be due – at least in part reported in Table 3.– to attrition. Further empirical work is needed to Evidence for Delphi effectiveness is equivocal, butdetermine the extent to which the convergence of results generally support its advantage over firstthose who do not (or cannot) drop out of a Delphi round / staticized group aggregates by a tally of 12procedure are due to either true consensus or to studies to two. Five studies have reported significantconformity pressures. increases in accuracy over Delphi rounds (Best, ´ 1974; Larreche & Moinpour, 1983; Erffmeyer & Lane, 1984; Erffmeyer et al., 1986; Rowe & Wright,5.2. Increased accuracy 1996), although the two papers of Erffmeyer et al. may be reports of separate analyses on the same data Of main concern to the majority of researchers is (this is not clear). Seven more studies have producedthe ability of Delphi to lead to judgments that are qualified support for Delphi: in five cases, Delphi ismore accurate than (a) initial, pre-procedure aggre- found to be better than statistical or first roundgates (equivalent to equal-weighted staticized aggregates more often than not, or to a degree thatgroups), and (b) judgments derived from alternative does not reach statistical significance (e.g., Dalkey etgroup procedures. In order to ensure that accuracy al., 1970; Brockhoff, 1975; Rohrbaugh, 1979; Dietz,can be rapidly assessed, problems used in Delphi 1987; Sniezek, 1989), and in two others it is shownstudies have tended to involve either short-range to be better under certain conditions and not othersforecasting tasks, or tasks requiring the estimation of ´ (i.e., in Parente et al., 1984, Delphi accuracy in-almanac items whose quantitative values are already creases over rounds for predicting ‘when’ an eventknown to the experimenters and about which sub- might occur, but not ‘if’ it will occur; in Jolson &jects are presumed capable of making educated Rossow, 1971, it increases for panels comprisingguesses. In evaluative studies, the long-range fore- ‘experts’, but not for ‘non-experts’).casting and policy formation items (etc.) that are In contrast, two studies found no substantialtypical in Delphi applications are rarely used. difference in accuracy between Delphi and staticized Table 2 reports the results of the evaluation of groups (Fischer, 1981; Sniezek, 1990), while twoDelphi with regards to the various benchmarks, others suggested Delphi accuracy was worse. Gustaf-while Tables 3–5 collate and summarise the com- son et al. (1973) found that Delphi groups were lessparisons according to specific benchmarks. accurate than both their first round aggregates (for seven out of eight items) and than independent5.2.1. Delphi versus staticized groups staticized groups (for six out of eight items), while The average estimate of Delphi panellists on the Boje and Murnighan (1982) found that Delphi panelsfirst round – prior to iteration or feedback – is became less accurate over rounds for three out ofequivalent to that from a staticized group. Compar- four items.
  13. 13. G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375 365Table 3Comparisons of Delphi to staticized (round 1) groups aStudy Criteria Trend of relationship Additional comments (moderating variable)Dalkey et al. (1970) Accuracy D.R (NDA) 81 groups became more accurate, 61 became lessJolson and Rossow (1971) Accuracy D.R (experts) (NDA) For both items in each case Accuracy D,R (‘non experts’) (NDA)Gustafson et al. (1973) Accuracy D,S (NDA) D worse than S on six of eight D,R (NDA) items, and than R on seven of eight itemsBest (1974) Accuracy D.R* For each of two itemsBrockhoff (1975) Accuracy D.R (almanac items) Accuracy generally increased D.R (forecast items) to r3, then started to decreaseRohrbaugh (1979) Accuracy D.R (NDA) No direct comparison made, but trend implied in resultsFischer (1981) Accuracy D5S Mean group scores were virtually indistinguishableBoje and Murnighan (1982) Accuracy R.D* Accuracy in D decreased over rounds for three out of four items ´Larreche and Moinpour (1983) Accuracy D.R* ´Parente et al. (1984) Accuracy D.R (WHEN items) (NDA) The findings noted here are the Accuracy D5R (IF items) (NDA) trends as noted in the paperErffmeyer and Lane (1984) Quality D.R* Of four procedures, D seemed to improve most over roundsErffmeyer et al. (1986) Quality D.R* Most improvement in early roundsDietz (1987) Accuracy D.R Error of D panels decreased from r1 to r2 to r3Sniezek (1989) Accuracy D.R Small improvement over rounds but not significantSniezek (1990) Accuracy S.D (one of five items) No reported comparison of accuracy change over D roundsRowe and Wright (1996) Accuracy D (reasons f’back).R* Accuracy D (stats f’back).R* a See Table 1 for explanation of abbreviations.5.2.2. Delphi versus interacting groups interacting groups have been compared are presented Another important comparative benchmark for in Table 4.Delphi performance is provided by interacting Research supports the relative efficacy of Delphigroups. Indeed, aspects of the design of Delphi are over interacting groups by a score of five studies tointended to pre-empt the kinds of social / psychologi- one with two ties, and with one study showingcal / political difficulties that have been found to task-specific support for both techniques. Support forhinder effective communication and behaviour in Delphi comes from Van de Ven and Delbecq (1974),groups. The results of studies in which Delphi and ´ Riggs (1983), Larreche and Moinpour (1983),
  14. 14. 366 G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375Table 4Comparisons of Delphi to interacting groups aStudy Criteria Trend of relationship Additional comments (moderating variable)Gustafson et al. (1973) Accuracy I.D (NDA) D worse than I on five of eight itemsVan de Ven and Delbecq (1974) Number of ideas D.I*Brockhoff (1975) Accuracy D.I (almanac items) (NDA) Comparisons were between I I.D (forecast items) (NDA) and r3 of DFischer (1981) Accuracy D5I Mean group scores were indistinguishable ´Larreche and Moinpour (1983) Accuracy D.I*Riggs (1983) Accuracy D.I* Result was significant for both high and low information tasksErffmeyer and Lane (1984) Quality D.I*Sniezek (1989) Accuracy D.I (NDA) Small sample sizesSniezek (1990) Accuracy D5I No difference at P 5 0.10 level on comparisons on the five items a See Table 1 for explanation of abbreviations.Erffmeyer and Lane (1984), and Sniezek (1989). needs to be done quickly, while Delphi would be aptFischer (1981) and Sniezek (1990) found no dis- when experts cannot meet physically; but whichtinguishable differences in accuracy between the two technique is preferable when both are options?approaches, while Gustafson et al. (1973) found a Results of Delphi–NGT comparisons do not fullysmall advantage for interacting groups. Brockhoff answer this question. Although there is some evi-(1975) seemed to show that the nature of the task is dence that NGT groups make more accurate judg-important, with Delphi being more accurate than ments than Delphi groups (Gustafson et al., 1973;interacting groups for almanac items, but the reverse Van de Ven & Delbecq, 1974), other studies havebeing the case for forecasting items. found no notable differences in accuracy / quality between them (Miner, 1979; Fischer, 1981; Boje &5.2.3. Delphi versus other procedures Murnighan, 1982), while one study has shown Although evidence suggests that Delphi does Delphi superiority (Erffmeyer & Lane, 1984).generally lead to improved judgments over staticized Other studies have compared Delphi to: groups ingroups and unstructured interacting groups, it is which members were required to argue both for andclearly of interest to see how Delphi performs in against their individual judgments (the ‘Dialectic’comparison to groups using other structured pro- procedure – Sniezek, 1989); groups whose judg-cedures. Table 5 presents the findings of studies ments were derived from a single, group-selectedwhich have attempted such comparisons. individual (the ‘Dictator’ or ‘Best Member’ strategy A number of studies have compared Delphi to the – Sniezek, 1989, 1990); groups that received rulesNominal Group Technique or NGT (also known as on interaction (Erffmeyer & Lane, 1984); groupsthe ‘estimate-talk-estimate’ procedure). NGT uses whose information exchange was structured accord-the basic Delphi structure, but uses it in face-to-face ing to Social Judgment Analysis (Rohrbaugh, 1979);meetings that allow discussion between rounds. and groups following a Problem Centred LeadershipClearly, there are practical situations where one (PCL) approach (Miner, 1979). The only studies thattechnique may be viable and not the other, for found any substantial differences between Delphiexample NGT would seem appropriate when a job and the comparison procedure / s are those of
  15. 15. G. Rowe, G. Wright / International Journal of Forecasting 15 (1999) 353 – 375 367Table 5Comparisons of Delphi to other structured group procedures aStudy Criteria Trend of relationship Additional comments (moderating variable)Gustafson et al. (1973) Accuracy NGT.D* NGT-like technique was more accurate than D on each of eight itemsVan de Ven and Delbecq (1974) [ of ideas NGT.D NGT gps generated, on average, 12% more unique ideas than D gpsMiner (1979) Quality PCL.NGT.D PCL was more effective than D (P , 0.01) (see Table 2)Rohrbaugh (1979) Accuracy D5SJ No P statistic reported due to nature of study / analysisFischer (1981) Accuracy D5NGT Mean group scores were similar, but NGT very slightly better than DBoje and Murnighan (1982) Accuracy D5NGT On the four items, D was slightly more accurate than NGT gps on final rErffmeyer and Lane (1984) Quality D.NGT* Guided gps followed guidelines D.Guided Group* on resolving conflictSniezek (1989) Accuracy Dictator5D5Dialectic Dialectic gps argued for and against (NDA) positions. Dictator gps chose one member to make gp decisionSniezek (1990) Accuracy D.BM (one BM5Dictator (above): gp chooses of five items) one member to make decision a See Table 1 for explanation of abbreviations.Erffmeyer and Lane (1984), which found Delphi to poor backgrounds in the social sciences and lackedbe better than groups that were given instructions on acquaintance with appropriate research methodolo-resolving conflict, and Miner (1979), which found gies (e.g., Sackman, 1975).that the PCL approach (which involves instructing Over the past few decades, empirical evaluationsgroup leaders in appropriate group-directing skills) to of the Delphi technique have taken on a morebe significantly more ‘effective’ than Delphi. systematic and scientific nature, typified by the controlled comparison of Delphi-like procedures with other group and individual methods for obtain-6. A critique of technique-comparison studies ing judgments (i.e., technique comparison). Although the methodology of these studies has provoked a Much of the criticism of early Delphi studies degree of support (e.g., Stewart, 1987), we havecentred on their ‘sloppy execution’ (e.g., Stewart, queried the relevance of the majority of this research1987). Among specific criticisms were claims that to the general question of Delphi efficacy (e.g., RoweDelphi questionnaires were poorly worded and am- et al., 1991), pointing out that most of such studiesbiguous (e.g., Hill & Fowles, 1975) and that the have used versions of Delphi somewhat removedanalysis of responses was often superficial (Linstone, from the ‘classical’ archetype of the technique1975). Reasons given for the poor conduct of early (consider Table 1).studies ranged from the technique’s ‘apparent sim- To begin with, the majority of studies have usedplicity’ encouraging people without the requisite structured first rounds in which event statements –skills to use it (Linstone & Turoff, 1975), to devised by experimenters – are simply presented tosuggestions that the early Delphi researchers had panellists for assessment, with no opportunity for