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© Aspire Training & ConsultingvContentsBefore you begin viiTopic 1: Identify change requirements and opportunities 11A Identify the forces for change and the stages of the change process 21B Determine strategic change needs through analysis of organisationalobjectives 81C Review the current organisational state to identify change requirements 121D Analyse the external environment for impacts on organisational objectives 191E Review and prioritise change requirements 22Summary 26Learning checkpoint 1: Identify change requirements and opportunities 27Topic 2: Develop change management strategy 332A Analyse change impact 342B Assess change readiness 412C Develop the change vision and strategy 462D Develop the change management plan 49Summary 56Learning checkpoint 2: Develop change management strategy 57Topic 3: Implement change management strategy 633A Plan communications and education 643B Action activities to implement and embed change 713C Manage barriers to implementing and embedding change 763D Monitor change progress and evaluate change effectiveness 83Summary 86Learning checkpoint 3: Implement change management strategy 874 © Aspire Training & ConsultingBSBINN601Lead and manage organisational change Example: forces for changeThe following identifies some of the external factors affecting an educational institution.Macroenvironmentalforces• Political/legal: increasedgovernment support for trainingorganisations; requirements tomeet equity obligations• Economic: rise of the Australiadollar making it more expensivefor international students• Demographic: populationgrowth and immigration creatinggreater demand for vocationaltraining• Sociocultural: due to increasein demand from internationalstudents, increased need forlanguage support services• Technological: advancements ine-learning platforms to provideflexible learning models andcommunicationMicroenvironmentalforces• Customers: increased demandfor e-learning from individualstudents, and for groupslearning from corporate andgovernment agencies• Competitors: change innumber of competitors dueto assistance provided bygovernment to registeredtraining organisations anddecrease in funding for TAFEsand universities• Suppliers: increase in cost ofcomputers• Pressure groups: local residents’group concern with increasedneed for parking around thecampus Internal forces for changeChanges in strategic objectives and strategies, in response to changes in theexternal environment, are themselves internal forces for change as they requirechanges to organisational structures, people, processes and/or technology. Otherinternal forces affecting organisational performance may relate directly to theperformance of current strategies, plans and practices. In response to such forces,organisations may change their structures, change the way they perform activities,or apply organisational development techniques or programs (such as teambuilding) to improve attitudes, behaviour and relationships.Other internal forces include:• new leadership requiring a restructure and a change in culture• rapid growth or decline affecting structure and employee performance• poor employee engagement and high employee turnover as a result ofstructural or organisational culture issues.8 © Aspire Training & ConsultingBSBINN601Lead and manage organisational changeTo determine strategic change needs, managers need to analyse the organisationalobjectives and the corporate and competitive strategies. This information ispresented in the strategic plan. The strategic plan outlines the organisation’s highlevel desired outcomes for a period, usually five years, and the strategies to achievethem. Following the identification of objectives and strategies, managers canidentify the operational or functional plans to meet these objectives.From the strategic plan, managers can identify:• the goals or objectives of the organisation, which establish the purpose of theorganisation and the basis for the organisation’s activities• the corporate or top-level strategies, which determine the area of business theorganisation is in or wants to be in• the competitive strategies to achieve competitive advantage in theorganisation’s markets over the competition.Identify and review organisational objectivesStrategic objectives, often referred to as goals, are the desired outcomes identifiedby senior management for the entire organisation. The objectives are what guidemanagement planning, organisation, leadership and control functions, and all ofthese functional activities are designed to achieve them.Broad strategic objectives are generally officially communicated in organisationalpublications and on its web and social media pages, to communicate to employeesand other stakeholders what it wants to achieve. There are also detailed objectivesthat are communicated internally and are specific, measurable, attainable, realisticand time framed. These are known as SMART objectives (or goals) and they assistin driving organisational activity.Examples of strategic objectives and strategies can be viewed by visiting theQueensland Treasury and Trade website at: www.treasury.qld.gov.au/knowledge/docs/treasury-strategic-plan/2012-16/index.shtml.1B Determine strategic change needs through analysis of organisational objectives© Aspire Training & Consulting13Topic 1Identify change requirements and opportunitiesAssess organisational structureA review of the organisational structure can identify whether the current levels ofmanagement, divisions, departments and teams enable the organisation or areato achieve its objectives. This review can also highlight issues in performance andprovide information on structural elements that work well. Those that work well,such as a project team structure within a unit to develop and deliver a group ofproducts, can be replicated in another area. Where productivity is low and/or costssavings need to be achieved, a review may identify that a particular managementlevel could be eliminated to speed up the decision-making process and thereforeimprove performance. This may also involve a redesign of jobs at the teammanager level to accommodate the need for increased responsibility.Here are the areas of organisational design that need to be reviewed. Structure and size• What is the existing organisational structure? What does the organisational chartlook like?• What is the size of the organisation? How does this affect the achievement ofobjectives? For example, a change in strategy may require downsizing.• Is the design of the organisation rigid, with little participation in decision-makingat the lower levels? How does this mechanistic design affect the effectivenessand efficiency of practices? With such tight control, can the organisation meet itsobjectives?• Is the organisation flexible in structure and easily able to meet changing needs?With a flexible design, do a change in objectives or a specific performance issuethat needs to be addressed mean structural change is necessary? Does thismean the issue can be addressed in the process, technology or people area?Chain of commandA chain of command is the line of authority throughout the levels of organisation.It describes who reports to whom and why.In an organisation with a tight structure, the chain of command may have a numberof levels of responsibilities, with strict requirements on how decisions are madeand by whom.Consider the following:• How does the chain of command affect the speed of decision-making?• How does the existing chain of command affect the culture of the organisationand employee empowerment?• If there is little employee empowerment in decision-making, how responsive isthe organisation to change?• Is a tighter or a more relaxed chain of command required to meet objectives,respond to external environmental shifts or resolve a performance issue? © Aspire Training & Consulting17Topic 1Identify change requirements and opportunitiesAssess the organisation’s peopleWhen reviewing employees, you need to identify their current skills and the skillsthey may need in order to respond to change. Managers need information onemployees, their skills, turnover and organisational performance, such as sales andprofits. A critical source of information in any organisation is the human resourcedepartment.To change employee behaviour, there are a number of organisational developmenttechniques or programs that can be applied to improve attitudes, behaviour andwork relationships, all of which can help to improve productivity, quality of work,absenteeism and high turnover resulting from stress, fatigue and boredom.Organisational development techniques and programs include:• surveys of staff to identify current attitudes and to seek input from staff onways to improve attitudes and behaviours in order to resolve issues• engagement in process consultation by seeking input from staff on ways toimprove attitudes and behaviours in order to resolve issues• team and intergroup development to facilitate the sharing of knowledgeand skills• team building for members to learn how to work with each other in order toimprove interaction and team morale. Example: assess employee needs for a new productConsider the following questions that a manager asks in order to identify the change needsin relation to a corporate growth strategy when a new product is being introduced into theworkplace.When addressing growth strategies to accommodate a new product• Is a new team required to manage the new product development and delivery to thecustomer?• How will the current sales staff effectively handle the increased customer traffic?• How will you ensure that enough staff are trained to handle customer inquiries?• How will you ascertain that you have sufficient marketing staff to manage the extramarketing requirements?• Is this a new market? Does the new market require dedicated sales staff or sales staffwith specific skills?• What new skills are required to develop the product? What new technology skills areessential?• How will warehousing and distribution cope with the increased workload?• What training is required?• How will you ensure that the right staff culture and attitudes are in place to deal with thechange? 22 © Aspire Training & ConsultingBSBINN601Lead and manage organisational changeThe findings of the organisational objectives and strategies review and the internaland external analyses need to be interpreted and, in consultation with relevantplanning stakeholders, a list developed of change requirements. This list thenneeds to be reviewed to determine change priorities. A critical step in this reviewprocess is to perform a SWOT analysis. A SWOT analysis enables a change agentto articulate to the change planning stakeholders for the review process theinternal strengths and weaknesses and the external opportunities and threatsidentified through the internal and external analyses. The SWOT analysis alsohelps to define and categorise the main changes required to meet objectives.Conduct a SWOT analysisTo perform a SWOT analysis, the change agent, along with the change planningstakeholders, needs to brainstorm the findings of the internal and external analysesto develop a clear list of what will help or hinder the organisation in meeting itsobjectives. You should discuss and record the results, relating the analysis to thechange requirements and to the ability to meet organisational objectives. Here ishow to conduct a SWOT analysis to determine business imperatives. Determine business imperativesIdentify the strengths, which include the resources, capabilities and effectiveness of thesales and marketing team, and data on the organisation’s competitive pricing.Identify the weaknesses, such as limited automation and employee empowerment, thataffect productivity.Identify the opportunities, suchas potential to expand into a new market and to takeadvantage of new taxation breaks for manufacturers.Identify the threats, which may include new competitors or increased costs of rawmaterials, to meeting objectives. v10511E Review and prioritise change requirements© Aspire Training & Consulting33Topic 2Develop change management strategyFollowing from the identification of why the organisation needs to change andwhat needs to change are the processes for understanding the impact of the changeacross the organisation. Then this information needs to be used to develop thechange management strategy and the plan to ensure the successful implementationof the change strategy.In this topic you will learn how to:2A Analyse change impact2B Assess change readiness2C Develop the change vision and strategy2D Develop the change management plan© Aspire Training & Consulting37Topic 2Develop change management strategy Example: likelihood and impact and their risk descriptorsThe following provides a description of how a software development company classifies thelikelihood and impact of identified risks.Likelihood ImpactVery likely • Incident will probablyoccur under almost allcircumstances.• Risk has a 75 per centchance of occurring.• Will occur within 6–12months.• Example: having no virusprotection software orpassword protection willput files at risk.Major • Financial impact would be$100,000–$500,000.• Potential for significantinjuries to staff.• Significant impact on abilityto meet objectives.Likely • Incident may occur undercertain circumstances.• Risk has a 25–75 per centchance of occurring.• Will occur within 24months.• Example: software todevelop new productrequires modification.Moderate • Financial impact would be$10,000–$100,000.• Potential injury of people.• Requires effort to deal withconsequences.• May affect more than onearea of operations.• Moderate impact on abilityto meet objectives.Unlikely • Incident will probably notoccur.• Risk has less than a 25 percent chance of occurring.• May occur within 48months.• Example: change agentresigns.Minor • Limited financial impact:less than $10,000.• Limited impact on timingand people.• Risk consequences arehandled within routineoperations. 42 © Aspire Training & ConsultingBSBINN601Lead and manage organisational changeGather information and assess feedbackHere are the steps involved in gathering information and assessing feedback. Develop questionnaire to obtain feedback└ In consultation with the change team or group, a questionnairecan be developed to guide the interviewer and intervieweethrough the process. The interviewer needs to be aware that theymust encourage as much relevant information as possible duringthe conversation.Conduct interviews or run focus groups└ Conduct interviews with key managers and selected staff. Focusgroups are useful for collecting feedback from a group or team.All responses to the questionnaire or feedback from the focusgroup need to be recorded for later review.Analyse the information└ When the feedback has been collated, the information needsto be reviewed. As a group, review the information to identifyrecurring themes. Determine the key barriers and enablers. Alsonote any recommended actions for addressing issues that havebeen provided through feedback. 46 © Aspire Training & ConsultingBSBINN601Lead and manage organisational changeTo communicate the need for change and to present a picture of the future, achange vision statement should be developed. To ensure the achievement of thechange vision, a change management strategy is required. From this, the changemanagement plan can be developed. This section deals with developing the changevision and formulating the change strategy to guide the development of the changemanagement implementation plan.For more information, read the brief Harvard Business Review article ‘ChoosingStrategies for Change’ by Kotter and Schlesinger (2008) to learn more aboutselecting change strategies. This article is available at: https://hbr.org/2008/07/choosing-strategies-for-change/ar/1.Create the change visionThe change vision sets the direction for the change, providing a picture of what theorganisation hopes to look like in the future. The vision creates a sense of purposeand helps to communicate the reason and the urgency for the change. It shouldinclude the desired change outcome and needs to be clear and concise to ensurethat it motivates the organisation’s employees to embrace the change.Change leaders, with relevant managers or an allocated change team, canbrainstorm the meaning of change and need to clearly answer particularquestions.When brainstorming the meaning of the change:• What are the benefits for the organisation and each unit/team?• What will change in terms of structure?• What are the benefits for the customers?2C Develop the change vision and strategy© Aspire Training & Consulting51Topic 2Develop change management strategyRisks and contingency planningImplementation risks can be identified and assessed by the project team usingthe same risk assessment process used in assessing impact and readiness. Basedon this risk assessment, the contingency plan or risk treatment plan is thedocumentation of treatment options.Sources of implementation risk:• Lack of financial support• Time constraints• Staff acceptance and cultural issues• Technological issues and failure• Capacity of suppliers and availability of contractorsIdentify the project’s organisational chartFrom the WBS, the change planning group or team can develop the changeproject’s organisational chart. This chart is the first step in assigning roles andresponsibilities and it outlines the chain of command. To develop the chart,similar project activities can be grouped to identify potential spans of control.The team may find that there is no-one available to manage or drive an area of thebusiness, so this position needs to be filled.Roles that are part of the change project’s organisational chart include:• the change sponsor/senior manager responsible for final approval of activitieswithin the change process• the change leader/agent or manager responsible for the implementation, whoreports to the sponsor• functional team leaders and/or team members who report to the change leader;for example, a human resource leader to manage the impact of the change onemployees.Allocate responsibilitiesMany projects, including those implementing major change, assign responsibilitiesand tasks by combing the WBS and the change organisational chart to developa responsibility assignment matrix (RAM). This matrix is often based on theResponsible, Accountable, Consult and Inform (RACI) format and lists the WBSactivities on the vertical edge, with the responsibilities on the horizontal edge. ARACI matrix articulates responsibilities and tasks, and identifies the formal linesof communication for the change project. Some RACIs are organised by roles andothers by major phases.© Aspire Training & Consulting55Topic 2Develop change management strategyof the change process. A milestone could be the approved design for a newmanufacturing process or the launch of a new product. These need to bemonitored to ensure that activities and tasks are tracking according to identifiedorganisational time frames and to ensure that change wins are effectivelycommunicated to all stakeholders.Determine monitoring and evaluation strategiesIn monitoring the implementation of change, the group or team needs todevelop evaluation criteria that monitor when, by whom and how progress iscommunicated to stakeholders. Evaluation of the success of the change also needsto be included in the change plan.Monitoring considerations• How will results and feedbackbe collected?• How will you know when youhave reached a milestone?• What activities need to bereported on?• What types of reports need tobe generated, when, and whowill be responsible for each?• How will progress becommunicated – forums,meetings, email, internet/socialmedia?• Who will update the plan toensure that change benefits arerealised?Evaluation considerations• What factors indicate thesuccess of the change –achievement of organisationalobjectives, increase inproductivity, sales or profit, etc.?• When will evaluation beconducted?• What tools can be used todetermine whether change hasbeen embedded; for example,interviews, surveys, focusgroups?• Who will be involved inconducting the evaluation? Practice task 9Visit the following websites to view examples of change management templates:• Government of Western Australia, Example change management plan: www.publicsector.wa.gov.au/document/structural-change-management-appendix-example-changemanagement-plan• University of Adelaide, Change Management Plan Template, at: www.adelaide.edu.au/learning-technologies/files/change-management-plan-template.docxCompare these to a developed change management plan or a template in your ownorganisation or one that you have chosen to review. What differences and similarities can yousee between these examples and your organisation’s plans/templates? © Aspire Training & Consulting65Topic 3Implement change management strategyStakeholder analysisA stakeholder matrix plots stakeholders against two variables. To analyse thepower and impact of different stakeholders, these variables might be the level of‘power’ of the stakeholder against the ‘interest’ of the stakeholder in the change:• Those stakeholders who are likely to resist change (have high interest) and canaffect the implementation of the change (have high power) need to be managedclosely and require frequent communication.• Those with lower interest in the outcomes and with limited ability to affect theimplementation process may only need to be monitored and kept informedthrough emails, newsletters or verbal announcements.• Those whom you need to keep informed are of high importance to the successof the change, but with low influence.• Those stakeholders with high influence who can affect the change outcomes,but whose interests are not directly aligned with the change, need to be keptsatisfied with information during the change process.A stakeholder’s base of power around the change process is often reliant onorganisational support mechanisms and the sanctions available to them.High Keep satisfiedManage closelyMonitor(Minimum effort)Keep informed PowerLowLow Interest High© Aspire Training & Consulting69Topic 3Implement change management strategyEnsure managers become change agentsFor managers to become change agents in their areas, they may need trainingin implementing the change and managing barriers, including team memberresistance.Consider the following options for training managers:• Workshops on developing change action plans specific to their areas or teams• Workshops for implementing organisational strategies to manage barriers,including interventions to manage resistance• Coaching and mentoring to enable managers to develop the leadership andcommunication skills required to enable change in their areas or teamsDocument the actionsThe change team needs to assign responsibilities for communications activitiesand to record the actions to be taken. Relevant approvals need to be obtained,which may be from the change sponsor and/or unit or department managers.Elements of the communication plan:• Information to be communicated by group/audience (format, content, levelof detail)• When the information is required (time frames and frequency)• Person responsible for preparing the information• Person responsible for delivering the information• Person/group to receive the information• Methods and technologies to convey the information (email, wiki, meeting,forum, etc.)• Time and costs allocated for communication and education activities (printeddocuments, workshop facilitators, etc.)• Escalation process for issues that cannot be resolved at a lower staff level• Method for refining strategies and updating the communications plan as thechange is implemented• Any relevant organisational templates for progress reports, meeting minutes orstatus emails74 © Aspire Training & ConsultingBSBINN601Lead and manage organisational changeEncourage employees to take actionEffective managers and leaders need to be able to win their employees’ cooperationand the most difficult task is getting people to connect and to understand whythey actually want to be where they are, doing what they are doing. There are twoways that you can encourage employees to take action: motivation and inspiration.Many organisations overcome their concerns relating to employee engagement byapplying pressure on their staff to respond to change. When there is an immediate,specific goal that you want your team to achieve, you need to motivate them. Youneed to identify their aspirations and commitments, and you need to inspire themto take action.Ways to motivate, inspire and encourage employees to take action:• Challenge them and inspire them through creativity and sacrifice.• Trust them; this will empower them to be their best.• Understand their value systems and consistently act within these values.• Be the change: your behaviour will inspire people more than anything else.• Share the sacrifice, share the load.• Be clear about what it is that you want your employees to do.• Set an end date to the effort you expect.Implement controls for embedding changeEven after a change has been successfully implemented, there is a risk that ifproblems are encountered with the new business or work processes, employeesmay revert to the old processes. To prevent staff regressing, managers can putcontrols in place. These controls may include new policies and procedures thatformalise the processes, and monitoring systems to identify any reversals. Furtherinterventions may be required to reinforce the new behaviours, attitudes andpractices in order to ensure the successful embedding of change.© Aspire Training & Consulting77Topic 3Implement change management strategyProvide recognition and rewardsWhether recognition is provided through feedback, acknowledgments or rewards,it gives those directly involved and affected by change a sense of achievement andincentive to continue with the new behaviours, attitudes and practices, knowingthat their efforts are valued. Providing rewards is also critical in the refreezingprocess. Formal and informal reward systems help to embed a change byencouraging the new behaviours and attitudes to become the norm.Formal approaches• Feedback during performanceappraisals or reviews• Reward programs such asemployee/change agent ofthe month with the award of acertificate or small monetaryreward such as a gift voucher• Access to further learning anddevelopment opportunities suchas mentoring, coaching, externaltraining or workshops, andattendance at conferences• Increased responsibility,promotion or salaryInformal approaches• Praise and thanking employeesin person and via meetings andmorning/afternoon teas• Publishing of achievementsvia email to a wider group, innewsletters and on wiki/intranetsites• Time-off-in-lieu arrangementsfor those who have beenrequired to work long hours tomeet change time frames• Milestone celebrations such aslunches and dinners© Aspire Training & Consulting79Topic 3Implement change management strategy Maria – AccommodatingMaria indicates a willingness to meet theneeds of others at the expense of her ownneeds. She often knows when to give in toothers, but can be persuaded to surrenderher position even when this is not warranted.Maria uses this style when:• the issues matter more to the other partythan to herself• peace is more valuable than winning.Tan – AvoidingTan tends towards this style in seeking toevade the conflict entirely. Tan is typified bydelegating controversial decisions, acceptingdefault decisions and not wanting to hurtanyone’s feelings.Tan uses this style when:• the issue is trivial• someone else is in a better position tosolve the problem. Negotiate for a win–win outcomeCommunication and consultation during change processes often requirenegotiation and, of course, negotiation is critical in managing conflict. Here issome guidance adapted from the Conflict Resolution Network (www.crnhq.org)on how to achieve a win–win outcome.NegotiationThe principles of negotiation to achieve a win–win outcome:• Focus on the problem, not the person.• Focus on needs, not wants or positions.• Identify and emphasise common ground.• Explore creative options.• Make agreements.Key negotiation skills include appropriate assertiveness andactive listening.© Aspire Training & Consulting81Topic 3Implement change management strategy Example: resolve conflictIn managing a conflict related to the allocation of financial resources between two membersof the change team, for example, Maya is facilitating the team members to negotiate a win–win situation. In her previous role as a team leader of an extremely diverse team, where therewas a conflict between two members relating to differences in values, Maya had appliedthe conflict resolution ladder approach (adapted from Trinder and Wertheim 2005, ‘TrainingTeachers in Building Empathy and Compassion in Young People’, La Trobe University).Given the success of the approach, Maya decides to use it to resolve her current conflict. Theconflict resolution ladder is a great tool that provides six simple actions that will enable Mayato resolve her team issues and help her to achieve a win–win solution.1. Can contain and managestrong emotions2. Can verbally express ownthoughts and feelings3. Can identify andexpress own interests4. Can empathisewith others5. Can generate anumber of solutionsto the problem6. Can negotiate awin–win solutionv1056 84 © Aspire Training & ConsultingBSBINN601Lead and manage organisational changeEvaluate change effectivenessTo evaluate change effectiveness, team, unit and organisational performance canbe measured to identify the success of the change in relation to organisationalobjectives. Evaluation questionsHave the anticipated benefits been realised? Has organisationalperformance improved as a consequence of the change?Are the changes within the organisation a direct result of increased/decreased performance, or external factors such as improved economicand market conditions?Are there any unforseen positive or negative consequences of the newstructure, processes or behaviours?Have the costs of the change outweighed the benefits of the change?What has the team learnt and what needs be done to improve the changeprocess and activities? Promote organisational learningOnce a change has been introduced and as part of the evaluation of itseffectiveness, change agents should spend time with the groups and encourage unitand team managers to reflect on the learning and experiences that have come outof the process. Through the identification of learning, employees can understandthat they have the skills and capabilities to adapt to change. This is a critical andessential step in helping organisations to promote learning that enables effectiveand efficient responses to change in both the external and internal organisationalenvironments.Share results and celebrate successMonitoring and evaluation results need to be communicated to stakeholders, andthe information sharing and reporting methods should be used according to thecommunications plan. Where the change team has been working solely on thechange project, on acknowledgment of the project’s completion and sign-off bythe sponsor or relevant members of senior management, the team needs to bedisbanded. Team members will be reallocated to other projects or functional areas.86 © Aspire Training & ConsultingBSBINN601Lead and manage organisational changeSummary1. A strong communication strategy, one designed to ensure engagement andto reduce uncertainty, guides the selection of effective methods to shareinformation and educate employees.2. The best methods of communication and consultation depend on thestakeholder groups’ needs, identified through internal, responsibilityassignment and stakeholder analyses, and determine the resources required.3. During the implementation stage of the change process, the strategies toincrease the driving forces and overcome the restraining forces identifiedduring the implementation planning need to be actioned.4. The activities to implement the change may be referred to as changeinterventions, which should be designed to improve the effectiveness ofindividuals, groups and teams, and their relations.5. To prevent people regressing to the old ways of doing things, managers canput in place new policies and procedures that formalise the processes, andmonitoring systems to identify reversals.6. To manage barriers to change, communications strategies need to beimplemented and monitored, organisational interventions need to be actionedand risk treatments applied. Counselling, rewards and recognition programs,and conflict management are also critical in managing issues.7. Gap analysis and regular meetings with stakeholders to discuss progressenable the identification of implementation and integration issues and thedevelopment of the steps to move forward to effect change.8. The solutions to identified issues need to be incorporated into the change plan,outlining the corrective actions required.

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