Introduction to managing change and innovation 2013 Session one: Friday November 8th –Saturday November 9th Murray Saunders

Programme Friday November 8th morning session: 9.00 -12.30 Friday November 8th afternoon session: 13.30 – 17.30 Saturday November 9th morning session: 9.00 -12.30 The sequence: Context of change: the organisation as a unit of analysis The culture of an organisation at the heart of change Knowledge resources, practices as part of culture How do we acquire a ‘culture’ (informal learning process) How do we experience a change How do we analyse a change (leading to the assignment)

Have an understanding of different types of change context Aims: Have an understanding of the ideas of change and innovation from a social practice perspective To be able to analyse situations of change with appropriate analytical tools Have an understanding of different types of change context

A Modern Phenomenon? Nothing endures but change. Heraclitus Greek philosopher (540 BC - 480 BC)

Etzioni’s classic definition of an organisation Bodies, persisting over time, which are specially set up to achieve specific aims

The characteristics of an organisation Division of labour, of power, and of communication responsibilities, such divisions being deliberately planned to achieve certain goals The presence of power centres which control the concerted efforts of the organisation and continuously review its performance and re-pattern its structure to increase efficiency The substitution of personnel by others assigned their tasks and the transference and promotion of individuals

Why do organisations change?

Why do organisations change? To reflect societal needs / aspirations To adapt to external change External regulation Making a difference Management goal Restructuring Efficiency Survival To expand good practice Responding to challenges External influence Attract investment Planning & development To stay ahead of the competition To grow To be more competitive External Pressure Internal Desire or Drive Satisfy demand New people change the organisation to suit themselves Someone at the top says we have to! Because the environment changes To create new opportunities After: Richard Seel http://www.new-paradigm.co.uk

Core conceptual tools in understanding and managing change What is culture? What is change? What is ‘practice’? Introducing a social practice approach

What is change? To cause to be different A transformation or transition from one state, condition or phase to another

Change is anything different from current conditions whereas innovation is something entirely new than anyone has seen before.

What is change? Incrementalism: doing the same only a little better, in other words improvements on existing practice clusters. Improving the quality of teaching materials might be an example. Innovative incrementalism: addition of innovations to existing practices, for example adding an international dimension to a syllabus where none existed before, or a new teaching practice to a repertoire. Transformational: radical understanding of enhancement involves a re-think of existing approaches, even fundamental purposes, and completely new practices. Saunders, M (2013) Quality enhancement: an overview of lessons from the Scottish experience in Amaral, A (2013) Recent Trends in Quality Assurance (Palgrave/ MacMillan)

“Change requires a change in culture: culture is at the heart of change”

Key concepts of culture Brainstorm a definition of culture within your groups

Key concepts of culture Designated value Beliefs Meanings (semiotics) and knowledge resources Practices Communities of practice

Depicting change in an organisation: knowledge, culture and practice Geertz and culture: “The concept of culture I espouse is essentially a semiotic one. Believing, with Max Weber, that man is an animal suspended in webs of significance he himself has spun, I take cultures to be those webs, and the analysis of it to be therefore not an experimental science in search of law but an interpretative one in search of meaning”.

Depicting change in an organisation: knowledge, culture and practice Geertz and culture: «Le concept de culture, je épouser est essentiellement une sémiotique. Croyant, avec Max Weber, que l'homme est un animal suspendu dans des toiles de signification qu'il lui a filé, je prends des cultures à ces toiles, et l'analyse de celui-ci d'être donc pas une science expérimentale à la recherche de la loi mais une interprétation dans quête de sens ».

Cultures consist of organisational characteristics the knowledge of which act as resources for practices Changing requires changing practices but why is this difficult?

Depicting organisational culture as ‘interactions’ Handy’s organisational cultures: Role (hierarchic, formal roles) Achievement (flat, informal tasking, teams, expertise, specific outcomes) Power (factional, dealing, strategic conduct and liaisons, hierarchic) Support (flat, participative, humanistic, interactional) Saunders, M. (1995) Researching Professional Learning. Journal of Computer Assisted Learning, Vol 11, no 3, pp 231-238

Factor Collegiate Bureaucratic Innovative Enterprise Dominant value Freedom Equity Loyalty Competence Role of central authorities Permissive Regulatory Directive Supportive Handy's organisational culture Support Role Power Achievement Dominant unit Department/individual Faculty/committees Institution/senior management team Sub-unit/project teams Decision arenas Informal groups networks Committees and administrative briefings Working parties and Senior Management team Project teams Management style Consensual Formal/'rational' Political/tactical Devolved leadership Timeframe Long Cyclic Short/mid term Instant Environmental fit Evolution Stability Crisis Turbulence Nature of change Organic innovation Reactive adaptation Proactive transformation Tactical flexibility External referents Invisible college Regulatory bodies Policy makers as opinion leaders Clients/sponsors

Depicting organisational characteristics as cultural knowledge: the basis of ‘practice’ Blackler (1995) Knowledge, Knowledge Work and Organizations: An Overview and Interpretation in Organization Studies November 1995 vol. 16 no. 6 1021-1046 Embrained knowledge [dependent on conceptual skills and cognitive abilities] Embodied knowledge [action oriented likely to be only partly explicit, mostly tacit, ‘the way we do things here’] Encultured knowledge [refers to the process of achieving shared understandings through language, socialisation acculturation, socially constructed and negotiable] Embedded knowledge [resides in systemic routines {reification of practice} relationships between technologies, roles, formal procedures and emergent routines] Encoded knowledge [information conveyed by signs and symbols, traditional forms {hard copy} and emergent forms {electronic}

Décrivant les caractéristiques organisationnelles que les connaissances culturelles: la base de practiceâ Blackler (1995) Knowledge, Knowledge Work and Organizations: An Overview and Interpretation in Organization Studies November 1995 vol. 16 no. 6 1021-1046 Connaissances Embrained [dépend des compétences conceptuelles et les capacités cognitives] Connaissance incarnée [orienté vers l'action susceptible d'être seulement en partie explicite, essentiellement tacite, «la façon dont nous faisons les choses ici»] Connaissances Encultured [désigne le processus de réalisation compréhensions partagées par le biais d'acculturation socialisation linguistique, socialement construites et négociable] Connaissances intégrées [réside dans les routines systémique {} réification de la pratique des relations entre les technologies, les rôles, les procédures formelles et des routines émergentes] Connaissances codées [information véhiculée par des signes et des symboles, des formes traditionnelles {} et copie papier formes émergentes {} électroniques

Embrained knowledge Technical knowledge Formal knowledge Knowledge in books Knowledge at a theoretical level Theories like ‘learning theory’, Piaget for example Theories like Eraut’s theory of informal learning

Embodied knowledge Knowing about daily ways of behaving in a group Could be knowing about how individuals react People’s habits Talkative open culture or more closed and formal Informality or formality When things get done Where things get done How best to get things done Not written down: tacit

Encultured knowledge This refers to the shared discourse of the group Could be references to nick names Could be the technical vocabulary of an organisation (medical environment) Could be knowledge of the word or phrase attached to a way of doing something (e.g. sledging which means criticising or verbally undermining trying to put somebody off, could be very situated or contextualised

Embedded knowledge This refers to knowledge of systems and ways of doing things The forms you need The process you have to go through to get things done Think about the process you need to go through if you want an extension to an assignment-this is embedded knowledge

Encoded knowledge This is a bit more tricky, it refers to the form that communications are made within a group Could be by text message Could be by email Could be mainly face to face Differences between a ‘memo’ culture or a face to face culture

Using these depictions, identify the knowledge resources within a classroom

Pathways of cultural knowledge acquisition Public/propositional knowledge Practice, experience Episodic memory Explicit learning Semantic memory Implicit learning Behaviour or performance

How do we learn informally? Implicit learning Reactive learning Deliberative learning

Knowledge acquisition Explicit pathway-events are stored in episodic memory and used to construct generalisations Implicit pathway-events are stored but no generalisations are made Sometimes explicit and implicit knowledge suggest how propositional knowledge might be used Propositional knowledge can be helpful in reflecting on and clarifying the meaning of an event or experience

Learning informally: the importance of the idea of ‘practice’ Informal learning often occurs through practice or learning about a practice. Practice is at the heart of informal learning Giddens’ notion of the practical refers to behaviour which is recurrent or routine i.e. happens on a day to day basis and is rooted in the normal routine of daily life. Therefore a ‘practice’ is a way of doing something, the pattern of which is reproduced in a social context [i.e. work] according to certain rules. A practice is recurrent or routine, rule governed behaviour Can we say that the ‘rules’ constitute the knowledge base of informal learning?

Learning informally: the importance of the idea of ‘practice’ L'apprentissage informel se produit souvent par la pratique ou l'apprentissage d'une pratique. La pratique est au cœur de l'apprentissage informel La notion de Giddens de la pratique se réfère à un comportement qui est récurrente ou de routine à savoir qui se passe sur une base quotidienne et est ancrée dans la routine de la vie quotidienne. Par conséquent, une «pratique» est un moyen de faire quelque chose, dont le motif est reproduit dans un contexte social [c.-travail] selon certaines règles. Une pratique est récurrente ou systématique le comportement général, régi Peut-on dire que les «règles» constituent la base de connaissances de l'apprentissage informel?

Learning informally through practice (Wenger 1999, p 4] “A concept of practice includes: both the explicit and the tacit what is said and what is left unsaid; what is represented and what is assumed. the language, tools, documents, images, symbols, well defined roles, specified criteria, codified procedures, regulations, and contracts that various practices make explicit for a variety of purposes. all the implicit relations, tacit conventions, subtle cues, untold rules of thumb, recognizable intuitions, specific perceptions, well tuned sensitivities, embodied understandings, underlying assumptions and shared world views. Most of these may never be articulated, yet they are signs of membership in communities of practice”

Learning informally through practice (Wenger 1999, p 4] «Un concept de pratique comprend: tant l'explicite et le tacite,ce qui est dit et ce qui est non-dits; ce qui est représenté et ce qui est supposé. le langage, outils, documents, images, symboles, des rôles bien définis, des critères précis, des procédures codifiées, les règlements et les contrats que les pratiques diverses de rendre explicite pour une variété de fins. toutes les relations implicites, conventions tacites, les indices subtils, les règles incalculable de pouce, intuitions reconnaissables, des perceptions spécifiques, des sensibilités bien réglé, les compréhensions incarnée, hypothèses sous-jacentes et visions du monde partagées. La plupart de ces ne peut jamais être articulés, et pourtant ils sont des signes d'appartenance à des communautés de pratique »

Culture produces cultureulture practices Knowledge Resources practices

Change concepts: overview Changing cultures: reconstruction of meaning Changing practices: knowing what a practice is! Changing systems [connective procedures] Changing structures [architecture of or connections between sets of procedures] Change is a process not a thing or a moment

Summary Organisations consist of cultures Cultures consist of organisational practices knowledge of organisational practices is learned Change involves ‘moving’ organisational practices

Types of Change Type I that which is done to us Type 2 that which we do to ourselves Type 3 that which we do to others There is a way to split Change up into three distinct and useful categories. Consider the following division based on the "source" of the Change relative to us as individuals: Type I      – That which is done to us. Type II     – That which we do to ourselves. Type III    – That which we do to others. (Note: These could be broken down further into sub-categories. These deserve a discussion all of their own and will be the subject of future essays.) As a rule nobody likes Type I Change. We hate being told what to do. Why? Because it interferes with our definition of "self", it violates our sense of independence, freedom and control of our own destiny. This is the type of Change we're most likely to resist within the context of organizational Change. Type II Change is different, very different. We're in control. We're deciding for ourselves that doing something different is necessary. Because it's our decision, we don't "resist" our decision to Change. This does not mean Type II Change is easy. Learning to play those bagpipes or to speak Chinese, losing weight, moving to a new city, starting a new job or position, are all difficult tasks, but we don't resist them in the same way we resist when someone else tells us we have to do these things. Type III Change is Type I Change from the other side of the fence. If we're inflicting Type III Change, then they perceive it as Type I Change.

Change levels Macro Structures, national systems, organisation at regional levels, orientation Meso Organisational changes, goals, cultures systems, practices Micro Individuals, small groups, practices, cultural change

Adaptation High Level of imposed change Low Low High Ability to cope with change

Attitudes to change Outright hostility Token compliance Grudging acceptance Lukewarm enthusiasm Real commitment Refusal Resignation Industrial action Lip service to new ideas Subversion Comply only where immediate benefit evident Momentum stalled by obstacles Enthusiastic Evangelical Willing to take risks Persistent in the face of barriers Increasing level of involvement Increasing depth and durability of change achieved After: http://ww2.audit-commission.gov.uk/changehere/content/mainmenu.htm

http://ww2.audit-commission.gov.uk/changehere/content/mainmenu.htm Outright hostility Token compliance Grudging acceptance Lukewarm enthusiasm Real commitment Refusal Resignation Industrial action Lip service to new ideas Subversion Comply only where immediate benefit evident Momentum stalled by obstacles Enthusiastic Evangelical Willing to take risks Persistent in the face of barriers Increasing level of involvement Increasing depth and durability of change achieved

Desire to change Capability to change Desire to change Defiance Reluctance Opposition Sabotage Subterfuge Change Commitment Enthusiasm Engagement Success High Capability to change Detached Disengaged Belligerent Resigned Impassive Frustration Anxiety Hindrance Dissatisfaction Failure Low Low High Desire to change Ralph (2007)

Levels of involvement Ralph (1997)

How do we experience change? Ralph (1997)

How do we experience change? Insecurity Pain Fear Suspicion Sense of loss - bereavement Opportunity Exhausting Challenges Improvement Retrograde step Sceptical of benefits Resignation Obstacle Resistance Out of Control “What’s in it for me?” Excitement Demoralising Energising Positive – Opportunity Negative - Threat Chaos Threat Unnecessary Weariness Disbelief Sense of achievement Uncertainty Transformation Relief Disappointment After: Richard Seel http://www.new-paradigm.co.uk

Stages of response to change Peaceful acceptance of New Reality Shock and Disbelief Acceptance of Ending (Grieving) Resistance Callan, J. (1993) Individual and organizational strategies for coping with organizational change in Work & Stress: An International Journal of Work, Health & Organisations Volume 7, Issue 1, 1993

Cycle of change Contentment Renewal Denial Confusion I like it just as it is – Status Quo What…me, worry? What a mess…help We have so many good ideas!

Responses to Change Knowledge of ‘what to change’ Knowledge of ‘why Ants mechanistic compliant directed obedient Bees flexible empowered searching integrated Known Knowledge of ‘what to change’ Frogs oblivious routine stagnant Rabbits bewildered petrified overcome Unknown Unknown Known Knowledge of ‘why we should change’

Transformative learning Transition Curve Zone of resistance Hope Denial Integration/ Moving On Anger Search for Meaning Perceived Competence/ Confidence Shock Testing Blame Acceptance Bargaining Transformative learning Depression Period of Loss Increasing Stress Positive Growth Reducing Stress Time After: J.Adams, J.Hayes and C.Hopson, Transition: Understanding and Managing Personal Change, 1976, London: Martin Robertson & Company; Kubler-Ross, E 1970 On death and Dying

Transition Curve Feel Good Well-being Distress/ despair Time Honeymoon Transformation Excitement Uncertainty Testing Losing confidence Well-being Exploring Confusion Denial Accepting Depression Partial recovery Distress/ despair Disbelief Letting go Numbness Crisis Positive event Trauma or loss Time Williams D Life events & career change: transition psychology in practice. Brit.Psych.Soc. Symposium, Jan 1999

Diagnostic tool for the change curve Phase Human Relations Communications Leadership Problem Handling Planning and Goal Setting Shock Fragmented Random Paralysed None Inactive Defensive Retreat Protective Ritualised Autocratic Mechanistic Isolated Acceptance and Test Supportive Searching Constructive Explorative Co-ordinated Change and Adapt Interdependent Harmonious Balanced approach to people and task Flexible Integrated Behaviours associated with different stages of the change curve

Managing through the change curve Information Involvement & Encouragement Clear Direction Support Manage through: Self-confidence; Morale; Perceived effectiveness Denial Commitment Anger Confusion Strong emotions Acceptance Exploring new ways of working Time

Understanding change Trowler P, Saunders M, Knight P (eds) [2004] Change thinking, change practices: A guide to change for heads of department, subject centres and others who work middle-out [LTSN Generic Centre, York] pp 40 Change theory Technical-rational theory Resource allocation model Diffusionist: epidemiologic theory Kai Zen, or continuous quality improvement perspective Models using complexity theories What are the core assumptions about the nature of change and its objects? Positivism works: experts plan and then manage faithful implementation Rational economic model: assume that central resource decisions have predictable results. Normative re-educative: clear, visible messages picked up by early adopters → they diffuse according to the fit of message with audience priorities Bricolage: change is because the system gets people to be continuously tinkering, looking for ways of doing better Indeterminate systems, outcomes not predictable. Change sponsors create conditions in which change is more likely to happen than not  

Force Field Analysis Driving Forces Restraining Forces Current State Desired future state Kurt Lewin

Three step change theory Unfreezing : (Motivate, building trust, collaboration) Movement : (agreeing status quo is undesirable, hierarchic support) Refreezing : stabilise new environment, incentives, embedding) Kurt Lewin

Critique of Lewin’s Three step change theory (Burnes B (2004) J of Management Studies 41:6 p 996) 1. stability and change in organizations was at best no longer applicable and at worst ‘wildly inappropriate’ 2. approach to change is only suitable for isolated and incremental change situations 3. ignored power and politics 4. adopted a top-down, management-driven approach Critique of Lewin’s Three step change theory

Eight steps to transformation (Kotter, 1995, Harvard Business Review, p61) 1. Sense of urgency 2. Forming a powerful coalition 3. Creating a vision 4. Communicating the vision 5. Empowering others to act on the vision 6. Planning for and and creating short-term wins 7. Consolidating improvements 8. Institutionalising (embedding) new approaches

“I am uncomfortable with the use of the language pattern 'change management'. The concept of 'Change management' and the use of that language is possibly a 2nd wave way of talking about a 3rd wave phenomenon (vestiges of a control based model where we think we can manage and/or control things). In a world of complex adaptive systems new states of being 'emerge' and aren't really managed (and a key component to survival is the ability to quickly respond and adapt to new environmental conditions)”

«Je suis à l'aise avec l'utilisation de la« gestion du changement »le modèle de langue. Le concept de «gestion du changement» et l'utilisation de cette langue est peut-être un moyen 2e vague de parler d'un phénomène de 3ème vague (vestiges d'un modèle de contrôle basé où nous pensons que nous pouvons gérer et / ou des choses de contrôle). Dans un monde d'états complexes adaptatifs de nouveaux systèmes d'être «émergent» et ne sont pas vraiment réussi (et une composante clé de la survie est la capacité à réagir rapidement et de s'adapter aux nouvelles conditions environnementales) "

Refocusing Attention now on adaptation, major changes, alternatives to original ideas, creativity, consolidation of ideas Collaboration Coordinating and cooperating with other stake-holders in developing ideas and outcomes Consequence Attention on impact on students, staff, departments and whole institution of change outcomes and the development of new ideas Management Attention on difficulties in the processes and tasks involved in the change, developing and accommodating new practices, processes and systems Institutional/personal Begins to analyse involvement in context of existing systems and practice Informational Emerging awareness and interest in knowing more, thinking of implications of participation Awareness Initial awareness of the change characteristics Stages of concern in a change (adapted from Hall and Loucks (1978).

Recentrer: l'attention aujourd'hui sur l'adaptation, des changements majeurs, les alternatives aux idées originales, la créativité, la consolidation des idées Collaboration de coordination et de coopération avec d'autres parties prenantes dans le développement des idées et des résultats Attention Conséquence de l'impact sur les étudiants, le personnel, les ministères et institution dans son ensemble des résultats du changement et le développement de nouvelles idées Attention de la direction sur les difficultés dans le processus et les tâches impliquées dans le changement, le développement et accommodant de nouvelles pratiques, processus et systèmes Institutionnel / personnel commence à analyser l'implication dans le contexte des systèmes existants et la pratique Informationnelle émergents sensibilisation et l'intérêt d'en savoir plus, pensant implications de la participation Sensibilisation sensibilisation initiale des caractéristiques changement

The evolution of changes: all levels

Individuals and groups The point about this metaphor is that it suggests the importance of constructing the experience of the proposed change from the points of view of all the main stakeholders within the system. Further, it suggests these points of view may well differ significantly and it is the task of the evaluation to ‘uncover’ these important differences. Another dimension to this metaphor is the way in which each group acts as both a receiver and an agent of a policy message and through this process, the policy message will undergo adaptation. Government Regions Le point sur cette métaphore est qu'elle suggère l'importance de construire l'expérience du changement proposé à partir des points de vue de tous les principaux intervenants dans le système. En outre, elle suggère que ces points de vue peuvent différer de façon significative et c'est la tâche de l'évaluation à «découvrir» ces différences importantes. Une autre dimension de cette métaphore est la manière dont chaque groupe agit comme un récepteur et un agent d'un message politique et à travers ce processus, le message politique va subir une adaptation. Institutions Receipt/Réception Agence/Agency Departments Individuals and groups Learners Implementation staircase and policy trajectories MS12/03/04

Types of Organisational Change ‘Quick fix’ or Crisis Transformation or Radical Change Greater Magnitude of change Tinkering or Fine Tuning Incremental or Evolutionary Change Fine tuning Incremental change Individual behaviour based on conforming to rules Decision making and control of change is decentralised Incremental Large scale extensions Transformation Fundamental, planned change Large scale, broad impact Individual behaviour based upon personal change Decision making and control is centralised Crisis Rapid, sometimes unplanned large scale change Rules are suspended Decision making and control is haphazard Lesser Shorter Longer Timescale (in years)

change management strategies and their main advantages and disadvantages can be summarised as follows:                                                                                                                                                                                                                                                                                                                                    

Cultural audit Assignment Description Introduction (general description, aims, people, location) Paradigm: overall description (power, role etc) Symbols: artefacts, prizes, awards, charters, policies Power: how are decisions made? Structures: elements of the organisation, division of labour Controls: quality frameworks, inspections, performance measures Routines: practices that happen regularly, meetings, newsletters, groups etc and knowledge resources Stories: shared memories about the organisation Potential change

Cultural Audit Paradigme: la description globale (puissance, le rôle, etc) Symboles: objets, prix, récompenses, des chartes, des politiques Puissance: comment sont prises les décisions? Ouvrages d'art: des éléments de l'organisation, la division du travail Contrôles: des cadres de qualité, les inspections, les mesures de rendement Routines: les pratiques qui se produisent régulièrement, des réunions, des bulletins, des groupes, etc Histoires: souvenirs partagés sur l'organisation

Categories in a cultural audit Stories Routines Symbols Paradigm Role, Achievement, Power, Support Controls Power Organisation structures

Position each on a 4-quadrant matrix as shown below.                                                                                                                                                                                                                             

Super-tanker In the Super-tanker quadrant change is slow and driven by external factors rather than by a sense of drive and purpose from within the organisation. Advantages Disadvantages Change can be managed Systems have time to react Change is slow Lack of responsiveness Unlikely to be able to respond to opportunities Fall behind competitors Enthusing staff about the need for change can be difficult

Fire-fighting Areas in the fire-fighting quadrant are always reacting to change and threats at very short notice and don't feel in full control of circumstances and actions. Advantages Disadvantages Culture of change can help make change happen Changes happen readily Externally driven Never run things long enough to fully embed them Change fatigue can set in High stress levels Responsive Changes happen readily Sense of 'Buzz' Entrepreneurial Externally-driven Never run things long enough to fully embed them Change fatigue can set in High stress levels Never have the opportunity to review whether what you do is effective

Band-wagon In the band-wagon quadrant you are always driven by external factors and the latest initiative. Advantages Disadvantages Responsive Changes happen readily Sense of 'Buzz' Entrepreneurial Externally-driven Never run things long enough to fully embed them Change fatigue can set in High stress levels Never have the opportunity to review whether what you do is effective

Space explorer In the space explorer quadrant change is slow and driven by opportunities from the internal and external environment. This may seem like the optimum quadrant but it has its drawbacks. Advantages Disadvantages Change can be managed and embedded Systems have time to react Staff feel more in control Change is relatively slow and some opportunities may be missed Lack of responsiveness Is change taking us in the right direction - and quickly enough? Can we afford the investment?

Discuss assignment   A change case study in two parts: 1. Undertake a cultural audit of an organisation with which you are familiar and identify a possible change. Use the framework called the cultural audit Identify the main practices and the knowledge resources 2. A) Suggest a change strategy, where you will identify a change and analyse the following: The nature of the change Stakeholders and their interests Incentives and disincentives to change Power and ownership of the change process Suggest a change strategy to move the organisation from A to B OR B) Analyse a change process, using the concepts you have been introduced to during the module