Managing Change - Guidelines

A Manager’s Guide to Implementing Change at USC

Designated Officer: Director, Human Resources
Date: July 2013

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  1. Introduction

The University’s Strategic Plan 2011-2015 makes clear that we are poised for the next stage of our development with ambitious research goals and plans to double enrolments within the next decade. Changes in the external environment have and will impact the University; for example, deregulation of student enrolments and the introduction of teaching standards, changes in research funding and measures of research quality and continued regional growth.

Within this context, change is inevitable at the University of the Sunshine Coast. There will be structural, functional and process changes - some change will be incremental, some will be transformational, some will affect particular parts of the University and not others, and some will fine-tune. However, ultimately, it is the behaviours, attitudes, values and practices of our staff that will determine whether authentic and sustainable change is achieved.

These guidelines aim to support the University’s aspiration to develop USC for a sustainable future and manage change effectively. The following principles underpin these guidelines.

People-centred

  • People react differently to change – some welcome change, others resist, others can be ambivalent – change needs to be inclusive
  • People need to engage with change processes and be consulted about things that will affect them
  • Genuine leadership is needed to win hearts and minds and model the behaviour and attitudes expected of all stakeholders
  • Effective communication is needed to convey the vision of the future and keep confusion and misinformation to a minimum
  • Change provides opportunities for staff to learn new skills and develop new perspectives.

Purposeful

  • Any change at USC will be purposeful and aim to improve
  • Any change will be deliberate and further align the University with its goals and priorities
  • Effective communication is needed to convey the reasons for change and make them meaningful to people
  • Being proactive enables USC to be flexible and agile in response to changes in the external environment.

Process-driven

  • Change is a process, not an event – it takes time and effort
  • Planning optimises the likelihood of success of change processes and is a key part of the University’s commitment to quality improvement
  • Effective two-way communication is needed to keep everyone informed about how the process is progressing and ensure everyone understands what is expected of them
  • Change processes need to be multi-faceted to ensure systems, processes, rewards and incentives reinforce the change.
  1. These Guidelines

These guidelines aim to ensure change processes at USC are guided by clear principles and achieve authentic and sustainable outcomes. They focus on the planning stage as without planning, change is not likely to succeed. However, most organisations are good at launching changes, but not at getting people through the transition; it is easier to plan change, than get people to carry it out and change their behaviours, attitudes, values and practices; it is easier to decide what should be changed than to make it happen. The ability to create a ‘readiness for change’ amongst those involved is an important factor in how sustainable the change will be. Individuals need information and time in order to process a change initiative, understand the impact this may have on them and others and make it happen.

  1. Change at USC

“Change management is the process of continually renewing an organisation’s direction, structure and capabilities”[1]. Change is inevitable as we continue to strive to achieve the University’s vision and strategic priorities.

There are different reasons for change at USC. For example:

  • Functional Change due to changes in strategic direction or in response to growth or the re-evaluation of course offerings
  • System or Process Implementation because of the implementation of a major IT system, a change in the way work is processed or a change in client interface
  • Geographical Change due to relocation of where staff work or the addition of new locations
  • Legislative Change because of changes to legislation and regulations which affect the organisation’s governance, compliance requirements or operations
  • Structural Change that changes organisational structure and reporting lines
  • Changes in the external environment that affect the higher education sector. For example, a change in Federal Government can impact priorities and funding arrangements.

Change is a complex learning and unlearning process for all concerned. It is not an event.

Tools and techniques can be used to effect authentic and sustainable change. However, change cannot be achieved without people changing – their behaviours, attitudes, values and practices – and this takes time and effort.

  1. USC’sChange Framework

The implementation of change at USC should be purposeful, planned and aim to improve.

USC’s Quality Framework (PIRI) has been adapted to become the framework for managing change as both frameworks aspire to ensure improvement in the University’s operations.

The Change Frameworkconsists of four phases:

  • PLAN– includes: identifythe need for change and determine the desired outcome; determine the scope of the change process; consult and communicate; establish clear goals andthe means of achieving them; plan actions to be taken, by whom and by when
  • IMPLEMENT– includes: allocate resources; communicate to win hearts and minds; take action and delegate; lead by example; train staff; monitor progress; report back regularly to stakeholders
  • REVIEW–includes: measure performance against goals and report; communicate progress and outcomes; celebratesuccesses; recognise individuals and teams that are embracing the change and have contributed to the success of the change; continue to support, talk to and work with “resisters” and “stragglers”
  • IMPROVE– includes: reflect on what has been learnt during the change process; consider feedback and utilise this to ensure sustainability of the change process and inform future change.

Each phase is a critical element that needs to be considered to ensure a sustainable result.

  1. Plan

An important component of all managers’ roles at USC is to ensure change is executed effectively. A number of actions can be taken by managers to better prepare individuals for change andachieve a successful and sustainable outcome.

a. Recognise the Need for Change

Once the need for change has been identified, managers need to be able to explain to their staff the reasons for change. They also need to be able to envision the future and know how to communicate the vision to stakeholders so they too can see what the future looks like and what it holds for them. There needs to be clarity about:

  • What happens if we don’t change?
  • What needs to change (and what doesn’t)?
  • How will this change affect staff?
  • How will this change affect clients and other stakeholders?
  • What formal processes need to be followed and actions taken to make it happen?
  • What support is available?

When a picture of the future is clear, it can be easier to think and talk positively about the change and behave constructively to support it.

If you are a middle manager or team leader, you need to ensure your Cost Centre Manager:understands what you proposed to do and why; the proposed change aligns with the bigger picture;you have their unwavering support and commitment; and they will champion the proposal and provide resources in both the short and longer-term. To ensure consistent communication, it is important that you and your Cost Centre Manager agree on the key messages in the Communication Plan.

b. Change readiness

Before you start to expect others to change, you need to make sure you are “change ready” – committed, motivated, confident in your skills and ready to put in the effort. Often managers decide to make changes, but don’t unfreeze themselves; they identify the discrepancy and discover the solution, but direct others to make the actual changes. A fundamental factor in reshaping culture and practice is how well you, as the leader of change, consistently model the behaviours you expect of others over time[2].

Some will accept the need for change more readily than others and some could actively resist. One of the greatest challenges for managers is helping individuals who are resistant to change. “Resistance” oftenhappens when peopleare not ready to change because theydo not accept the reasons for the change and the vision of the future does not resonate with them.

To optimise readiness for change, a manager can:[3]:

  • Create a sense of urgency for change by actively revealing the differences between current and desired states
  • Facilitate participation and involvement in the change process
  • Communicate in the early stages of the change process to ensureothers understand the nature of and reasons for change as this canprovide a sound base for subsequent changes and a greater willingness to take risks and extend beyond current boundaries
  • Listen to, acknowledge and, where possible, address people’s issues.

c. Plan for change

To plan effectively, the manager must commence with a clear understanding of:

  • What the goals are and what the outcome/swill be;
  • The means to achieve the outcome/s most effectively;
  • What action needs to be taken and which are the priorities;
  • Who needs to do what by when;
  • How are people’s transition through the change process going to be managed; and
  • How is achievement of the goals going to be measured? How will you know the change has been successful and sustainable?

Managing change as a project is an effective method to provide structure, timeframes and scope.

Appendix one provides a Project Plan template for managers to plan the change process.

d. Who will be impacted by the change?

The people who are going to be impacted by the change need to be identified. For some, the impact will be large - for example, changing the way they work, the services they provide, where they work, who they report to and who they work with - whereas others may only need to be aware that the change is taking place as the impact on them is relatively small.

Appendix two provides a Stakeholder Analysis template that will help you identify those who will be impacted by the change and how the change will affectthem. This will help shape the substance of your plan to manage the change and your communication with different individuals and groups of people.

e. Communicate with those impacted

Throughout the implementation of the change process, it is vital that clear, concise and consistent information is conveyed to those impacted. This communication should be timely and regular to help remove uncertainty and ambiguity for those impacted by the change. Remember, you need to win hearts and minds – the language of the mind is logic; the words of the heart are expressed in feelings. Both “languages” are needed as motivation to engage in change always has both a rational and an emotional dimension[4].

Features of effective communication for change include:

  • Communication must be honest, frequent, consistent, open and transparent. If managers are unsure of aspects of the change process or outcomes, they should be clear about not having all the information themselves but reassure people they will let them know when they can
  • Communication helps remove uncertainty. People can deal more effectively with change, even if it’s bad news, if they have some certainty and know what’s coming. It’s not knowing that can be problematic
  • Senior leaders are best placed to deliver messages about strategic change and University-wide changes and imperatives to improve alignment with the University’s direction, for example, in response to changes in the higher education sector. For example, the Vice-Chancellor and President invites all staff to presentations to ensure they are up-to-date with the issues he and the University are dealing with. Local managers/leaders are better placed to deliver messages about impacts to individuals that result from these strategic and University-wide changes and to specific work areas
  • “People will march for a phrase – not a paragraph and, even less a page”[5].

Appendix three provides a Communication Plan template to analyse and prepare the communication messages for different individuals and groups of people.

f. Provide opportunities for input

Communication is a two-way process – listening is an important component of the process. Listening provides opportunities for those impacted by the change to have input. Staff affected by the change can have valuable insights and information that can produce a better change outcome for everyone.

It is important to explain that consultation means stakeholders have an opportunity to have input and that a variety of views is being sought. However, by seeking input from a range of stakeholders, views will differ and can contradict. It is up to the formal leaders and managers to make decisions about what input can and cannot be taken on board in the change process. Communicating the reasons for choosing some views and not others to make decisions is an important part of a successful change process.

  1. Implement

“Good ideas with no ideas on how to implement them are wasted ideas”[6].

The implementation phase involvestaking action to effect authentic and sustainable change. For example, you might need to:

  • Trainstaff
  • Develop or update position descriptions
  • Address Workplace Health and Safety considerations
  • Allocateresources, including time
  • Manage separation, retrenchment or redeployment

Appendix four provides an Implementation Planoutline.

As staff become accustomed to new procedures and practices, managers need to ensure the sustainability of thechange. Encouraging staff during this period is essential in order to maintain their transformationand long-term commitment to the work area and the change outcomes. Leading by example and modelling the behaviours you expect of others is also central to the success and sustainability of the change. You need to manage yourself as well as managing others.

Often people accept the need to change, but they struggle with the transition and the way the process is being managed. People progress through stages to move from the current state to the future and they transition through the stages at their own pace[7].

A simple description of the stages is:

  • Letting go: where individuals need to deal with their loss of the old way of doing things. Managers can help individuals by encouraging discussion and enabling them the opportunity to share how they are feeling
  • Neutral zone: is the place between the old and the new and can be positive or negative for different people. Creativity can flourish and some individuals open up to new ideas. Others resist and are more reticent about what is happening around them. Managers can assist by encouraging creativity and new ideas and enabling individuals to participate
  • New beginnings:when individuals start to settle into a new way of doing things. Managers can consolidate this time by celebrating and rewarding actions that embrace the new way and encourage individuals to discuss any concerns they may have with you.

Appendix five provides moretechniques for supporting staff.

  1. Review

Change management processes need to be evaluated to assess whether the interventions have been implemented as intended and if so, have the desired outcomes been achieved.

To evaluate how effective aspects of the change processes have been, for example the communication plan, sources of information include: numeric measures to assess pre- and post-change performance, focus groups and surveys.

If an organisation fails to review, the risk of fuelling scepticism about change processes and adding to the sense of change fatigue prevail. Reflecting on what you’ve learnt from the change process is fundamental to improving the next change initiative.

  1. Improve

The final component of the Change Framework involves considering what tweaks can be made to ensure authentic and sustainable change has been achieved and what improvements canbe made to future change processes. Feedback from stakeholders can be a valuable source of information for improvement.

  1. Get help and support

Staff in Human Resources can guide and support you through any change process. Often there are consequences of change that relate directly to Human Resources’ processes, for example, changes to position descriptions, the establishment of new positions, recruitment and selection, and training and development.

Appendix six provides the Change Management: Human Resources Administration Checklist. Staff in HR will work closely with managers to support and guide them through the change management process and ensure all administrative requirements are fulfilled in a timely way and in accordance with the University’s Enterprise Agreement.