Managing Change - Guidelines
A Manager’s Guide to Implementing Change at USC
Designated Officer: Director, Human Resources
Date: July 2013
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
2.
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.
3.
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 reevaluation 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.
4.
USC’s Change 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.
1
Morgan J and Brightman B 2000. Leading organisational change
2
The Change Framework consists of four phases:

PLAN – includes: identify the need for change and determine the desired outcome; determine the
scope of the change process; consult and communicate; establish clear goals and the 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; celebrate successes; 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.
Plan
Improve
CHANGE
Implement
Review
Each phase is a critical element that needs to be considered to ensure a sustainable result.
3
5.
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 and achieve 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 time2.
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”
often happens when people are not ready to change because they do 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:
2
Scott, Geoff 2004. Change Matters: Making a Difference in Higher Education
3
Smith, Ian 2005. Achieving readiness for Organisational Change
4

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 ensure others understand the nature of
and reasons for change as this can provide 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/s will 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 affect them. 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 dimension4.
Features of effective communication for change include:
4
Scott, Geoff 2004. Change Matters: Making a Difference in Higher Education
5

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.
6.
Implement
“Good ideas with no ideas on how to implement them are wasted ideas”6.
The implementation phase involves taking action to effect authentic and sustainable change. For
example, you might need to:

Train staff

Develop or update position descriptions

Address Workplace Health and Safety considerations

Allocate resources, including time

Manage separation, retrenchment or redeployment
Appendix four provides an Implementation Plan outline.
5
George Bain quoted in Scott, ibid.
6
Fullan, M 1993. Change forces: probing the depths of educational reform.
6
As staff become accustomed to new procedures and practices, managers need to ensure the
sustainability of the change. Encouraging staff during this period is essential in order to maintain their
transformation and 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 pace7.
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 more techniques for supporting staff.
7.
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.
8.
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 can be made to future
change processes. Feedback from stakeholders can be a valuable source of information for improvement.
7
Bridges, W 1995. Managing Transitions: Making the Most of Change
7
9.
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.
Contact your Human Resources Consultant/Adviser for assistance.
8
Change Management Flowchart
Plan
•
•
•
•
•
•
•
•
Be clear about the reasons for the change and what the goal is
Make sure you are "change ready"
Scope the change and make sure a full-blown change process is needed
Define the boundaries of the project - what is in and out of scope
Identify impact on staff and other stakeholders
Communicate, communicate, communicate (includes listening)
Allocate resources
Plan action, timelines, responsibilities, performance measures
• Take action and delegate action appropriately to others
• Monitor progress and modify action where necessary
• Ensure regular communication updates are provided to stakeholders
Implement
Review
Improve
• Reflect on what was learnt and how we can improve the next change
process
• Seek feedback from stakeholders to determine effectiveness of the
change process
• Seek feedback from end users to determine the success and
sustainability of the changes made
• Report formally
• Communicate and celebrate
• Reflect on what we might do differently next time
• Give consideration to feedback provided by stakeholders and end users
• Make adjustments to consolidate and continue improvement
9
Appendix one:
Project Plan template:
The fundamentals of project management can be applied to managing a change process. By definition, a
project has a beginning, middle, and most importantly, an end.
1.
Consider the big picture: the USC context – internal and external environment
2.
What are the reasons for the change?
3.
Am I change-ready? – checks needed for all factors
Committed
Motivated
Confident
4.
What is the goal we are aiming for? What is my vision for the future?
5.
What is in the scope of the project? And what isn’t?
6.
What action needs to be taken and what are the priorities?
7.
Allocate team and other resources, including time? Delegate appropriately
8.
Where might there be resistance? How can this best be managed?
9.
Identify risks? How can these best be managed?
Energised
10
10. Identify work health and safety issues? How can these best be managed?
11. How is achievement of the goals going to be measured? When?
11
Appendix two:
Stakeholder Analysis template: Who is impacted by the change?
Those managing and leading change need to take into account the interests of those who may be impacted in
some way by the change and it effects. This tool helps to identify stakeholders and helps analyse the impact of
the change on them. This analysis helps shape the substance of the change management approach and plan.
Suggested Approach
Gather together a small group of 4-6 participants of those involved in the project or who have a good
understanding of the organisation and the objectives of the project.
Step 1: Identify and list all those impacted by the change, ‘stakeholders’. Be as specific as you can. Ask
yourself who might be impacted by the project? Who might have an interest in it?
Step 2: For each stakeholder, identify their interest, the benefits/opportunities this change brings, concerns,
risks and other impacts, using the table below.
Name of
Stakeholder
Point of Contact
Interest in the
Project
Impact of
the Project
on
stakeholder
Benefits/Losses
Comments
Column Heading and description:
Interest in the Project – the particular area of interest the stakeholder has in the project. For example, the
stakeholder identified might be an end-user of a new system, or an advisory/reference group.
Impact of the Project on the Stakeholder – classify the level of impact the project will have on this stakeholder.
Values are:

Critical – Ability to undertake tasks and perform services will be seriously hampered if the project
fails

High – Significantly affected. Must be kept informed and have an avenue to provide feedback

Medium – Moderate affect. Should be kept informed and monitor response

Low – Only slightly affected. No particular management activity required
Benefits/Losses – what does the stakeholder stand to gain from the project/change? Any losses? What are the
risks?
Comments – record any comments that will help shape the planning to manage the change process. This may
include initial thoughts about how best to engage and communicate with this group, what their training
needs are etc. Also consider the impact each stakeholder has on the project. (Are they supportive of the
project? Can they hinder the project?).
12
Appendix three:
Communication Plan template:
Features of effective communication for change include:

Communication must be honest, frequent, consistent, open and transparent. Even communicate what we
don’t know yet

Communication helps remove uncertainty. People can deal with change better, even if it’s bad news, if
they have some certainty - they know what’s coming

Senior Leaders are best placed to deliver messages about business need for change, i.e. align with the
organisation’s direction

Local managers are better placed to be key deliverers of messages about impacts to individuals as a result
of the change

“People will march for a phrase – not a paragraph and, even less a page”
Building a Communication Plan
Step 1: Who do we need to communicate with? Refer to the Stakeholder Analysis template to help identify the
communication needs of each stakeholder.
Step 2: What are the key messages we need to provide? Think about the timing of these messages. What are
the messages for each phase of the change management process?
Step 3: How will we communicate these messages? Identify existing communication channels or mechanisms
that can be used. Do any new communication channels/mechanisms need to be created? What is the
frequency of the communication?
Step 4: Who is responsible for each communication?
This plan can be presented in a table.
Stakeholder
Key Messages
Communication
Medium
Frequency
Responsible Officer
13
Appendix four:
Implementation Plan template:
An implementation plan should detail the specific actions required to effect the change. This may include:
staff training; developing or updating position descriptions; workplace health and safety considerations;
organising resources; managing separation, retrenchment and redeployment.
Step 1: What is the action to be undertaken? For example, staff training.
Step 2: What are the actions required to achieve this? For example, identify staff who need to be trained;
identify their training needs; identify who can design and deliver the training – external/internal?
Step 3: Who is to be responsible for the action item? For example, identify who should organise the training
and the staff who need to participate in the training.
Step 4: When should this occur? Determine the timeframes for the actions and indicate when they are
completed.
This can be presented in a table or a Gantt Chart can be very useful for planning implementation. Depending
on the complexity of your Chart, Microsoft Excel, Project or Visio can be used (refer to Train Station).
Outcome sought
Action/s required to achieve
outcome
Responsible
Officer
Completion
date
Completed
()
14
Appendix five:
Techniques for Supporting Staff
People respond differently to change. Each of us has our own personality traits that come into the equation –
some of us accept and adapt quickly to change while others can be anxious and worry about particular aspects
of the change process or the change itself and find it difficult to “move on”. Aspects of Elizabeth Kubler Ross’ 8
work on grief have been adapted to describe people’s reactions to change as it not unusual for people to react
to a major change in similar ways to those dealing with personal loss. However, passage through the “change
curve” is not necessarily simple and linear. People can stall and revert to former stages at any time. A
manager’s role is to lead, guide and support people through the change process which can be complex,
demanding and frustrating because of individuals’ different reactions to change.
The Change Curve
Action
Shock
Denial
Acceptance
Worry
Relief
Anger
Ways to help people through the Change Curve
Re
r
When people are in shock:

Communicate clearly, consistently, honestly and often and give as much information as possible
repeatedly

Tell the truth and don’t overpromise. If you don’t have the answers, say so and get back to people
when you find out

Observe people’s reactions and be patient

Don’t be defensive or argue too much

Accept that people will react emotionally and don’t tell anyone how they should feel

Give people time to get used to new ideas and ways of doing things
8
Kübler Ross, Elizabeth (1969) On Death and Dying
15
When people are in denial or angry:

Be patient and give instructions clearly, gently and not too quickly

Check for understanding, challenge misconceptions and deal with concerns and misinformation and
rumours

Be clear and specific about what is required of people and make sure you follow up and keep people
on track

Shorten time frames for action

Be apathetic

Make sure you are modelling the behaviours you expect of others
When people are worried and confused:

Accept people are going to respond emotionally

Provide opportunities for people to vent

Listen and be supportive

Build successful experiences

Invest in motivating people and keeping them involved

Continue to make expectations clear and keep control

Be patient with inefficiencies and mistakes, but give constructive feedback and use them as learning
opportunities

Keep communicating and reinforce positive behaviours and outcomes

Encourage a positive culture
When people turn the corner and display relief and acceptance:

Expect some people to revert to old ways and stages. For example, they could revert to being
worried or angry

Accept that people will turn the corner at different times

Be optimistic and reinforce hopefulness

Continue building your team/s and encourage collaboration and learning from each other

Continue to work closely with your staff

Provide constructive feedback consistently and often

Recognise and reward gains and progress

Communicate the benefits, positive outcomes and successes
Another way of helping staff through the change process is to look at some common causes of resistance and
know what you can do to counteract them.

Self Interest: If someone has achieved some status or power in the past, they can see the new way of
doing things as a threat. Look for ways to assure them about the benefits of the change for them and the
organisation - “What’s in it for me?”
16

Fear of the unknown: If people doubt their ability to learn new skills, systems or procedures, look for
ways to build up confidence and ensure staff by helping them experience success early in the change
process. Effective training is also a key.

Differing Perceptions: People may have very different perceptions of a situation - how it’s working or not
and whether or not changes are required. Try to understand and acknowledge differing points of view;
identify individual needs and how they can be met; then communicate, communicate, communicate.

Suspicion/Cynicism: If staff feel suspicious because they think management (“the University”) has failed
to deliver on commitments in the past or they are cynical because they think similar changes have been
tried before and not been successful or sustained, be open and honest in your communication and
ensure early successes are promoted and explained in terms of the value they have added.

Conservatism: If staff are comfortable with current arrangements and the culture is not one that
supports change, you need to address the inertia by creating a convincing case for change and a sense of
urgency.
17
Appendix six:
Change Management: Human Resources Administration Checklist
One of the most important outcomes of change can be changes to staff appointments. Managers need to
work closely with their Human Resources Consultant to ensure all administrative requirements are fulfilled in a
timely way and in accordance with the University’s Enterprise Agreement.
Work Area:
Cost Centre Manager:
Effective Date:
Abbreviations:
e.g. (DVC) Deputy Vice-Chancellor, (DHR) Director HR, (HR) Human Resources
Activities
Responsibility
Due Date
Date
Completed
Comments
PLANNING
Determine processes e.g. advertising
positions
Finalise organisational structure
STAFF COMMUNICATION
Advise XX of change
Advise XX of change
Advise XX
Advise Managers of Change
Consult with NTEU, if required
Advise all work area staff
Advise other related staff
UNIVERSITY COMMUNICATION
Prepare email
Email to all USC staff
18
IMPLEMENTATION
Review all position descriptions
Create new positions
HR evaluates position descriptions and
determines levels
New positions approved
All appointment forms(changes) completed
Staff Letters
Confirm new account codes
Office set up
Recruitment
Appointment
19
Appendix seven:
Review template:
1.
Did we achieve our goals? How do we know? (key performance indicators)
2.
What went well?
3.
What factors impeded the change process?
4.
What did we learn?
5.
What feedback did our stakeholders give about the effectiveness of the change process and change
outcomes?
6.
Are there other things we need to do to consolidate the changes?
20
Appendix eight:
Kotter’s Eight Steps9
9
Kotter, John (1996) Leading Change
21