Full Slides ChangeManagement

Brent D. Ruben, Ph.D.
Copyright © 2011 • 1
Executive Summary, The Kellogg Commission
In our personal lives, and as well in
organizations, good intentions abound
Remember New Year’s Eve??
Six months later … Usually not
much has changed.
Why?
Life’s brick walls . . .
Habit, history, tradition—all powerful

forces retarding good intentions
Principle No. 1
Behavior is the
best predictor
of behavior.
Principle No. 2
Significant, planned,
personal change is
extremely difficult.
Principle No. 3
As difficult as personal
change is, significant
planned organizational
change is exponentially
more difficult.
Like individuals,
organizations have
habits, traditions, and histories
—and all are powerful influences that
mitigate against change
Principle No. 4
Resistance to change
is as inevitable as
change itself.
Principle No. 5
Overcoming the influence of
habit, history, tradition, and
natural resistance requires
understanding, discipline,
and a systematic approach.
How Personal Learning and Change Occur
Learning
Change
1. Defining a Standard
5. Following Through
of Excellence
2. Determining 2. Determining
4. Developing a Plan
Where You Stand Where You Stand
of Action
3. Committing to Action
The Issues Are the Same for Organizational Learning and Change
Source: B. D. Ruben, Organizational Development and Change in Universities, Advances in

Developing Human Resources 7(3), 2005. Copyright © 2011 • 10
Principle No. 6
The impediments
to organizational learning
and change—and the
potential facilitators—
are the same.
Without a good working knowledge

of these factors, success is a
hit-or-miss affair.
How Personal Learning and Change Occur
Learning
1. Defining a Standard
Change
5. Following Through
of Excellence
2. Determining 2. Determining
4. Developing a Plan
Where You Stand Where You Stand
of Action
3. Committing to Action
The Issues Are the Same for Organizational Learning and Change
Source: B. D. Ruben, Organizational Development and Change in Universities, Advances in

Developing Human Resources 7(3), 2005. Copyright © 2011 • 12
Why the predictable lack of acceptance…
and the resistance?
…
…
…
…
…
…
What’s the Problem?
Why the lack of acceptance… and the resistance?
Despite the fact that change is an inevitable part of life—
and we know that—we often resist, because change...
 May not be viewed as necessary or appropriate
 Requires a substantial investment of time, when there’s already
too much to do
 Catches us off guard
 Threatens our comfort level
 Calls for new routines and approaches
 Requires new knowledge and skills
 Assumes resources that don’t exist
 Undermines our sense of self and our identity
 Threatens our present status, stature, or roles
 Requires trust and confidence in leaders
 Implies a criticism of the present systems, processes and/or structures
 Threatens personal or professional legacies
 Others?
Stages in the Acceptance or Rejection of
Change Efforts
3. Commitment
2. Engagement
5. Integration
1. Attention
4. Action
1. Seeing a need
2. Becoming involved
3. Committing to a position—acceptance or rejection
4. Acting on one’s resolve
5. Accepting or rejecting the change as a regular part of life/work
The First Stage: Seeing a Need
1. Attention
The Second Stage: Becoming Involved
2. Engagement
The Third Stage: Committing to a Position
3. Commitment
The Fourth Stage: Acting on One’s Resolve
4. Action
The Fifth Stage: Accepting or Rejecting the
Change as a Regular Part of One’s Life/Work
5. Integration
1. Attention
2. Engagement
3. Commitment
4. Action
Progressing Through the Stages
5. Integration
An Example: “You’ve got
borderline high blood
pressure”
3. Commitment
2. Engagement
5. Integration
1. Attention
4. Action
1. Attention
2. Engagement
3. Commitment
4. Action
Resistance
5. Integration
1. Attention
2. Engagement
2.Engagement
3. Commitment
4. Action
Leading the Change Process
5. Integration
Job 1: Capturing Attention
Engagement
3. Commitment
2.Engagement
5. Integration
1. Attention
4. Action
2.
 Clarifying a need, challenge, or problem

 Creating a sense of urgency
 Providing a wake-up call
 Establishing a “burning platform”
Task 2: Creating Engagement
Engagement
3. Commitment
2.Engagement
5. Integration
1. Attention
4. Action
2.
 Identifying and involving all individuals and constituencies with a stake in

the outcome—especially those who will be directly affected
 Considering other key stakeholders—those with positional power,
credibility, and resources
 Facilitating meaningful dialogue and discussion to create a shared
sense of the challenge(s), problem(s), and solution(s)
Task 3: Developing Resolve
Engagement
3. Commitment
2.Engagement
5. Integration
1. Attention
4. Action
2.
 Identifying areas of agreement

 Addressing obstacles and barriers
 Providing opportunities for influence
 Dedicating necessary resources
 Working through opinion leaders/change agents
 Identifying detractors (people and ideas)
 Building consensus and coalitions
Task 4: Motivating Action
Engagement
3. Commitment
2.Engagement
5. Integration
1. Attention
4. Action
2.
 Clarifying intended outcomes

 Promoting the desired behaviors
 Implementing selected tasks, activities, or actions
 Providing necessary resources, orientation, and training
Task 5: Assuring Integration
Engagement
3. Commitment
2.Engagement
5. Integration
1. Attention
4. Action
2.
Integrating and institutionalizing the change into the culture
 Recognizing and rewarding innovators

 Celebrating changes and other outcomes
 Developing reinforcing processes, structures, and mechanisms
 Implementing mechanisms for ongoing review and refinement
A Focus on Cross-Cutting Success Factors
Planning
Leadership
Communication
Culture
Assessment
Planning — Defining the specifics of the change
Leadership — Developing an appropriate personal and

organizational approach given the challenges at hand
Communication — Committing to an ongoing process of

information sharing, listening and collaboration with colleagues
and stakeholders
Culture — Taking account of organizational history, rules,

traditions, and customs that may influence the change effort
Assessment — Monitoring progress and outcomes
A Systematic Approach to Planned Change
P l a n n I n g
Engagement
Commitment
Integration
L e a d e r s h I p
Attention
Action
C o m m u n I c a t I o n
C u l t u r e
A s s e s s m e n t
The 5 X 5 Matrix for Planned Change (MPC)
STAGES > 1. Attention 2. Engagement 3. Commitment 4. Action 5. Integration
FACTORS
1. Planning
2. Leadership
3. Communication
4. Culture
5. Assessment
Defining key
steps for yourself
and others
STAGES > 1. 2. 3. 4. 5.
Attention Engagement Commitment Action Integration
FACTORS
1. Planning
2. Leadership
3. Communication
4. Culture
5. Assessment
Plans for Change – Large and Small ...
 Developing a new program
 Introducing a new travel policy
 Updating a web site
 Purchasing new office furniture
 Centralizing support services
 Terminating a program
Attention to Planning Basics is
Needed When…
 One person can’t do it alone
 Goals and intended outcomes are not self-
evident
 Where intentions and motivations may be
misunderstood
 Future outcomes will be influenced by current
actions—or the lack of action
 Multiple perspectives and stakeholders need
to be taken into account
 Shared ownership and “buy-in” are important
Planning Basics Steps
Identify Affected
Define Purpose,
Parties &
and Need
Stakeholders
Scan Environment
Formulate Goals
Establish Strategies &

Action Plans
Document the Plan
From: Tromp, S. A., Ruben, B. D. Strategic Planning in Higher Education (SPHE) Washington, DC: Copyright © 2011 • 40
National Association of College and University Business Officers, 2010.
The First Step
1. What is the
purpose of the Define Purpose Identify Affected
change? Why is it Parties &
and Need
Stakeholders
needed?
Scan Environment
Formulate Goals

Action Plans
Document the Plan
From: Tromp, S. A., Ruben, B. D. Strategic Planning in Higher Education (SPHE) Washington, DC: Copyright © BDR Oct. 2008 • 41
Guidelines for Effective Statements of
Purpose and Need
 Brief
 Focused
 Memorable
 Clear
 Sensitive/responsive to key constituencies and their issues and
needs
 Absence of jargon
 Implies relevant comparisons to peers/leaders
 Measurable
Identifying Affected Parties & Stakeholders
Define Purpose Identify Affected 2. What groups

and Need Parties &
Stakeholders will be directly
affected? What
other groups need
Scan Environment to be consulted?
Formulate Goals

Action Plans
Document the Plan
Planning: Scanning the Environment
3. What are the

positives, negatives, Define Purpose Identify Affected
opportunities, and and Need Parties &
Stakeholders
threats that should
be considered in
moving forward Scan Environment
on the change
initiative?
Formulate Goals

Action Plans
Document the Plan
Goals to Fulfill the Vision
Define Purpose Identify Affected

and Need Parties &
Stakeholders
3. What needs to Scan Environment

be achieved to
effectively address
the needs and Formulate Goals
purposes–the vision
Action Plans
Document the Plan
Goals Should be...
 Brief statements
 Broad and far reaching in scope
 Clear in stating the “what” that needs to
be accomplished
 Differentiated from strategies (the “how”)
and action plans (the “who and when”)
 Measurable
 Collectively, address all aspects of the
project needs and purpose
Developing Strategies and Action Plans
Identify Affected
Define Purpose
Parties &
and Need
Stakeholders
Scan Environment
Formulate Goals
5. How will we
achieve our goals?
Who will do what, Establish Strategies &
when? Action Plans
Document the Plan
The Relationship Between
Goals, Strategies, Action Plans
 Change Goals (What needs to be done to
fulfill our vision/aspirations?)
 Strategies (How can each goal be

achieved?)
Action Plans (Who needs to undertake
what tasks and when to ensure that each
strategy is successfully complete?)
National Association of College and University Business Officers, 2010..
Action Planning Template Overview
Sponsor(s): Which organization is Project Leader: Who is the best person
the sponsor of this project? to facilitate a collaborative, inclusive
approach to achieving the project goal(s)?
Project Description: In one or two sentences, how can you clearly define
the goal(s) of this project?
Action Steps for Each Change Stage: Project Members:
What kinds of broad activities need to be What types of people/positions need to be
part of the project plan for each stage in represented in group to bring the best input,
the change process? ideas, and expertise to do the project?
Funding Considerations: What resources are required to make this project a

reality? What sources currently exist? What issues exist?
Deliverables: At the end of the project, what items will the group produce—a report, a
new/revised process, a survey, a Web site, publications?
Timeframe: What is a reasonable amount of time for this project? (Keep in mind operational
calendar, lead time for notifications, etc.)
Effectiveness Measure(s): What information will tell you these activities are successful in
reaching the desired outcomes?
How to Move the Initiative to Action: What needs to be done to move from planning to doing?
Action Planning:
What It Accomplishes
 Operationalizes goals
 Clarifies project leadership
 Divides work into manageable pieces
 Identifies the appropriate work group
 Defines needed resources
 Delineates specific tasks
 Establishes expectations
 Highlights need for measures
 Creates formal plan for moving forward
Applying the Planning Basics Concepts
O
C Ocean City Mall
M
The Senior Walk-for-Health Program

The OCM Senior Walk-for-Health Program
• Initiated in 2000 to promote exercise among seniors and build
good will within the community
• OCM opened its doors at 7:00 am 6 days a week for walkers—
shops opened at 10:00 am
• Instituted a registration system for walkers to track the miles
walked
• Nurses provided periodically by OCM to take walker blood
pressure and provide basic healthcare counseling
• Free coffee and tea provided on Saturday mornings
• Widely publicized in news media—print, radio, and TV
• Became visible and highly regarded.
• In 2010, roughly 150 walkers participated in the program daily
The OCM Senior Walk-for-Health Program
“Ocean City Mall announces termination of health program for

senior citizens”
“Two week termination notice signs posted on OCM doors”
“Mall officials deny access to media”
“Management refuses to respond”
“Disenfranchised walkers pledge to take their business elsewhere”
Define the Purpose
What is the purpose of the planned change?
Purpose
Draft Statement
To eliminate or reduce costs associated with

the Senior Walk-for-Health Program
Clarify the Need
Why is the change needed?
Need
Draft Statement
Heating and cooling expenses, personnel

costs, and other funds necessary to promote,
maintain, and support the Senior Walk-for-
Health Program during the additional hours
the mall must be open for the program, have
become an increasing burden, particularly in
the current economic environment when mall
occupancy rates and revenues are falling
short of our goals.
Identify Affected Parties & Key Stakeholders
What groups will be directly affected?
What groups will be affected indirectly?
Affected Parties & Key Stakeholders
Groups that will be directly affected

• Walkers
• Nurses and others health staff (who have been
hired to provide on-site health screenings)
• Vendors in the food court of the mall (who have
chosen to be open to benefit from business from
the walkers)
• Mall store managers (who may perceive they will
lose business during the early opening hours
since walkers would not be in the mall)
• Others?
Groups that will be affected indirectly
• Mall shoppers (who will see posted signs or

notifications of the change)
• The community at large (who have come to take the
program for granted, and appreciate the OCM’s
contribution to the community)
• The media (who, if there is resistance, may choose to
report on the decision)
• Others?
Environmental Factors
• What are the Pluses/Strengths/Assets that
should be considered?
• What are the Negatives/Weaknesses/

Liabilities?
• What are the Opportunities?
• What are the Threats/Risks?
What are the Pluses/Strengths/Assets
that should be considered?
Pluses/Strengths/Assets associated with
eliminating the seniors walking program
• Eliminating the program will reduce operating and

personnel costs
• Mall tenants will appreciate OCM’s efforts to control
operating costs—which are eventually passed along to
them
• The program seems to generate very little in the way
of tangible sales for mall tenants
What are the Negatives/Weaknesses/
Liabilities that should be considered?
Negatives/Weaknesses/Liabilities associated with
eliminating the seniors walking program
• There is a dedicated group of walkers who have come to

take the program for granted and will be annoyed if it is
terminated
• There are no other obvious alternative places for seniors to
walk sheltered from the elements
• Terminating the program would eliminate some part-time
jobs for nurses and other healthcare screening staff
• Eliminating the program would markedly reduce early
morning sales for food court vendors
• The community has come to expect OCM to provide this
service
• Eliminating the program may lead to negative perceptions
of the new OCM management team Copyright © 2011 • 66
What are the Opportunities that
Opportunities associated with eliminating the
seniors walking program
• Depending on how the termination is handled, there

may be a way to gain recognition for the 10 years of
service OCM provided to the senior community
• Other, less expensive programs could be initiated—
programs that might result in a more direct and
tangible benefit to mall tenants
• Business/local government sponsors might come forth
to help underwrite the program
• Could provide impetus for the developed of a a
dedicated seniors facility within the community.
What are the Threats/Risks that
Threats and risks associated with eliminating the
seniors walking program
• Walkers may be very annoyed by the decision, and
this may affect their customer loyalty
• Eliminating the program may lead to negative
perceptions and resentment of the new OCM
management team or the OCM within the community
• None of the other competitive malls offer a
comparable program, so eliminating the program does
not create a competitive advantage for any other
venue
• Creation of a permanent rift in the community
• Long lasting change in Mall shopping loyalty
Purpose
Revised Statement
To eliminate or reduce costs associated with
the Senior Walk-for-Health Program in a
manner that does not alienate the dedicated
walkers and the community at large.
Define the Goals
List those goals and desired outcomes that

need to be achieved in order for the planned
change to be successful in fulfilling the
intended purposes?
What needs to be done?
1.
2.
3.
Goals
1. Reduce costs and explore revenue

enhancing options
2. Determine and address potential
reputational impact
3. Promote mall as a community partner
Goal 1 Strategies
How can Goal 1 be achieved?
1.1 …
1.2 …
1.3 …
Goal 2 Strategies
2.1 …
2.2 …
2.3 …
Goal 3 Strategies
3.1 …
3.2 …
3.3 …
Goal 1 Strategies
Goal 1: Reduce costs and explore revenue
enhancing options
Strategies:
1.1. Assess costs and revenue losses associated
with termination
1.2. Identify savings and revenue enhancement
possibilities
1.3. Others?
Goal 2 Strategies
Goal 2: Determine and address potential

reputational impact
Strategies:
2.1. Clarify the public relations case for and against
terminating/retaining the program
2.2. Create advisory board (walkers and community
at large)
2.3. Others?
Goal 3 Strategies
Goal 3: Promote mall as a community partner
Strategies:
3.1. Identify potential community/local government
partners
3.2. Develop communication plan
3.3. Others?
Develop Action Plans
Sponsor: Project Leader:
Project Description:
Action Steps:
1. Project Members:
2. •
3. •
4. •
5. •
Funding Considerations:
Communication Considerations:
Deliverables:
Timeframe:
Effectiveness Measure(s):
How to move the initiative to action:
Action
Sponsor: Mall Manager, M. Lopez Project Leader: Assoc Manager: R. Winn
Project Description: Assess the cost savings and potential revenue loss
associated with the senior walkers program
Action Steps: Project Members:
1. Determine heating, lights and personnel costs • Mall Business Manager
2.
Estimate lost revenue from early morning vendor sales • Vendors
3.
4.
Estimate vendor revenue lost from carry-over senior shoppers • Senior Walker-shoppers
5. Estimate lost revenue from alienated senior shoppers •
Funding Considerations: Possibly token gift certificate to walker-shoppers
Communication Considerations: Solicit input from directly affected vendors

Deliverables:Cost/Revenue estimates in format that permits analysis of options
Timeframe: 30 days
Effectiveness Measure(s): Completion of spreadsheet analysis
How to move the initiative to action: Business manager organizes, invites, convenes
Creating the Draft Document
Identify Affected
Define Purpose
Parties &
and Need
Stakeholders
Scan Environment
Formulate Vision Goals

Action Plans
Document the Plan 6. Prepare a draft of the

plan to be circulated,
reviewed, and refined.
“…in life there are those who
make things happen, those who
watch things happen, and those
who wonder what happened.”
—Patricia Witherspoon, 1997, p. 109
STAGES > 1. 2. 3. 4. 5.
FACTORS
1. Planning
2. Leadership
3.
Communication
4. Culture
5. Assessment
Everyone agrees that leadership is
important…
But when it comes to determining what

it is, there’s not so much agreement
What Leaders Need to Know and Do:
A Leadership Competencies Scorecard
Brent D. Ruben, Ph.D.

Rutgers University
The Traditional View of Leadership
Outstanding leadership is provided by

individuals who have superior technical,
disciplinary and job-specific knowledge
and skill.
Positional Competencies
Having relevant formal education and/or training in sector-related
EDUCATION
competencies
Having prior relevant experience in the sector—e.g.,

EXPERIENCE business, healthcare, government, or education
EXPERTISE Having appropriate and/or required job competencies
KNOWLEDGE OF Understanding of the field, its issues, challenges and opportunities—

FIELD e.g., business, healthcare, government, or education
KNOWLEDGE OF Understanding the particular organization, its issues,

ORGANIZATION challenges, and opportunities
FAMILIARITY WITH Knowing about and being comfortable with tasks or work activities that
WORK are specific to the sector and organization
PROFESSIONAL Pursuing opportunities for personal and professional learning, growth,

INVOLVEMENT and advancement
Current Thinking
Beyond a minimal threshold, other

competencies are more important for
outstanding leadership than technical or
position-specific knowledge and skill.
Five Competency Areas
Analytic
Competencies
Leadership
Personal Competencies Communication
Competencies Scorecard© Competencies
Organizational Positional
Competencies Competencies
Published by Copyright © 2011 • 89

the National Association of College and University Business Officers (NACUBO), 2006
http://www.nacubo.org/x3510.xml
Personal Competencies
CHARACTER, PERSONAL
Maintaining personal and professional standards
VALUES, AND ETHICS
COGNITIVE ABILITY Demonstrating insight and imagination

AND CREATIVITY
ENTHUSIASM Maintaining a positive attitude
HIGH STANDARDS Expecting excellent performance from oneself and others
PERSONAL CONVICTION Being dedicated and persevering

AND PERSISTENCE
SELF-DISCIPLINE AND
Having self-control, focus, and confidence in one’s capabilities
SELF-CONFIDENCE
ROLE MODELING Practicing the values and behaviors that one advocates for others
Organizational Competencies
VISION-SETTING,
STRATEGY Motivating and providing a sense of purpose and direction,
DEVELOPMENT, AND development approaches and goals, and ensuring follow through
GOAL ATTAINMENT
MANAGEMENT AND Overseeing financial, physical, and human resources

SUPERVISION
INFO/KNOWLEDGE
Facilitating the sharing of information within a group or organization,
MANAGEMENT AND
and across organizational boundaries
BOUNDARY SPANNING
TECHNOLOGICAL Using appropriate communication technology and media to support

CAPABILITY leadership initiatives
COLLABORATIVE
DECISION Effectively engaging others in decision making and other activities
MAKING AND
EMPOWERMENT
TEACHING AND
Encouraging the development of leaders and leadership capacity
COACHING
CHANGE, RISK AND Promoting and effectively guiding change and innovation; anticipating
CRISIS and managing risks; and coping effectively with unexpected and crisis
MANAGEMENT situations
Communication Competencies
CREDIBILITY AND Being admired, seen as magnetic, authoritative, honest,
TRUST competent and trustworthy
INFLUENCE AND Convincing others to adopt advocated ideas, points-of-view,

PERSUASION or behaviors
INTERPERSONAL
RELATIONS Creating effective interpersonal relationships, groups,
AND and teams
TEAM-BUILDING
LISTENING, ATTENTION,
Attending verbally and visually to the thoughts,
QUESTION-ASKING,
behaviors and actions of others
AND LEARNING
WRITING AND Conveying information, ideas, and opinions clearly

PUBLIC SPEAKING through writing and oral presentations
DIVERSITY AND Valuing and working effectively with both men and women,
INTERCULTURAL and individuals of varying cultural, racial, ethnic, political
RELATIONS or lifestyle orientations
FACILITATION,
Encouraging discussion and the expression of varying
NEGOTIATION,
points of view, encouraging compromise, and effectively
AND CONFLICT
addressing tensions and conflicts
RESOLUTION
Analytic Competencies
SELF-ASSESSMENT Analyzing one’s own thoughts, emotions, and reactions
Identifying underlying issues, concerns, problems, and tasks

PROBLEM-DEFINITION
that need to be addressed in a given situation
STAKEHOLDER Assessing perspectives of those likely to be affected by the

ANALYSIS decisions, policies or practices of a leader or organization
SYSTEMS/ Focusing on “the big picture,” including short- and long-term concerns
ORGANIZATIONAL and outcomes, for all those affected by leadership decisions, policies,
ANALYSIS or practices
ANALYSIS OF
TECHNOLOGY Assessing available technologies, and their potential
TO SUPPORT strengths and weaknesses for supporting leadership efforts
LEADERSHIP
Analyzing a situation, identifying possible/appropriate
PROBLEM-SOLVING
leadership styles and courses of action; ensuring follow through
REVIEW AND
Debriefing and analyzing outcomes to derive “lessons”
ANALYSIS OF RESULTS
Your Personal Role in Change Leadership…
“You must be the change

you wish to see in the
world.”
Mahatma Gandhi
1869 - 1948
and
Vice president, associate vice
president, project director, PI, co-PI,
chair, coordinator, liaison—roles and
titles that come with a comma
Leadership roles that come with being
alive—
The multitude of opportunities we have
to influence friends, coworkers,
colleagues in other departments, and
members of our external publics as we
go about the activities that constitute
our lives
Developing a Change
Leadership Team
1. Design the appropriate leadership architecture for the

initiative overall and for each stage in the change effort.
2. Identify roles and responsibilities for change leaders,
teams, and task forces.
3. Identify process steps and timetable, define
deliverables, and designate responsible individuals.
Leadership Architecture Guide
Stage Leader(Person/Team) What the Leader/Team Should Do Timeframe
Attention
1.
Commitment Engagement
2.
3.
Action
4.
Integration
5.
Leadership Architecture Template
• Mall management • Form informal group of walkers
Attention
• Form advisory group of tenants 3 months before

1. open during walking hours or decision date
catering to this group
• Mall management
2. •Meet to discuss need for change, 2 months before
and informal group of decision date
walkers and tenants and possible options
• Mall management •Discuss the selected options and 2 months before

3.
and informal group of plans implementation of
walkers and tenants •Solicit help in communicating change
• Mall management •Plan implementation
Action
4. 1.5 months before

and informal group of •Encourage “buy-in” by walkers, implementation of
walkers and tenants community & other vendors change
Integration
•Assess impact
5. • Mall management
•Determine what follow-up may 1 and 2 months
be needed following change

If only message sent = message received!
STAGES > 1. 2. 3. 4. 5.
FACTORS
1. Planning
2. Leadership
3. Communication
4. Culture
5. Assessment

Human Communication . . ,
How people create, convey, select, and
interpret the messages that inform and
shape their lives
-Brent D. Ruben
 Appears to be extremely simple, common sense
 However, no greater challenge in life—personally,

professionally, organizationally, internationally, also when it
comes to implementing successful change initiatives

Seven Communication Concepts With
Important Implications for Change
Leadership
1. No one knows or cares as
much about what you know
and care about as you do.
Remember how long it has taken

you to get to this point and the
experiences that brought you to
this point
Try to create that same learning

process for others

2. A single message seldom
has much impact
Effective communication
requires repetition
You may be tired of the

message before it gets to the
people you’re trying to reach

3. Information Flow Often
Does Not Follow Gravity
Lines
Don’t assume that messages

from higher levels of the
organization automatically flow
downward through the
organization in an orderly
manner
Don’t underestimate the impact

of informal communication
channels and rumors

Cascading is not automatic.
It may occur automatically

in some sectors and
organizations, but seldom
in higher education!

4. You won’t be successful
with everyone—nor with
anyone person all the
time
The Rule of Fractions always

applies.
Try, try again; BUT at some

point decide where
communication efforts are
having an impact and where
they’re not, and focus
energies where there will be
the most beneficial results.
The Rule of Fractions
 A fraction of your receivers WILL “get
your message” without much effort and
skill on your part.

skill on your part.
 Another fraction of your intended

receivers WILL NOT “get your message”
regardless of your effort and skill.

skill on your part.
 A fraction could get your message with

an appropriate amount of effort and skill
on your part.
 A fraction of your intended receivers

WILL NOT “get your message”
regardless of your effort and skill.

5. The simple message
is the one that is
remembered and
retold
Let the elevator ride

be your guide

Let the Elevator Ride Be Your Guide
In the sense-making process, the

simple story or image is the most likely to be . . .
 Derived
 Remembered
 Retold

Let the Elevator Ride Be Your Guide
The Moral:
Create and communicate a
story, explanation, image,
or summary that is…
 Simple
 Short
 Clear
 Easily Comprehended

Slide 113
ST5 I would delete this. They will remember from previous slide and this makes this slide too busy.
Sherrie Tromp, 3/14/2011
The Senior Walker’s Program “Elevator
Story”
We are undertaking a project to review, and

perhaps revise, our Senior Walk-for-Health
Program with the goal of maintaining—and
ideally enhancing—the benefits of the
program, while reducing operating costs.

5. The Picture Is
Defined by the Frame
 Context
 Background
 Focus
 Emphasis
 Highlighting
 Valence

6. Beware of the Attention Paradox
“We must get their attention…”
“so they’ll want to sit down, talk, and work on this

problem in a cordial and collaborative manner.”

7. Successful planned
change requires clear,
focused, and strategically-
timed communication
 Be clear on your goals
 Tailor messages to
specific audiences
 Select channels
purposefully
 Choose appropriate
sources
What Are Your Goals?
 Gain attention  Persuade

 Increase awareness  Engage
 Listen and understand  Motivate
 Provide information  Create buy-in
 Clarify  Prompt action
 Encourage  Heighten commitment
 Reinforce a point of  Promote sustainability
view  Others?

What Are the Best Ways to Reach Your
Audiences?
 Face-to-Face  Meetings
 E-mail  Blogs
 Web sites  Social networks
 Video  Print materials
 The grapevine  Posters/bulletin boards
 Cascade briefings  Newsletters, reports, memos
 Focus groups  Listservs
 Surveys  Others?

Communication Strategy for Change:
A Sequential Process
Typically, different strategies

are needed for each stage.
3. Commitment
2. Engagement
1. Attention
5. Integration
4. Action

You Need A Communication Strategy for Each
Stage in the Change Process:
Answer These Questions for Each Stage
 Who are your internal and external target audiences
(affected parties)?
 What are your intended outcomes?
 What are the potential sources of resistance?
 What are the appropriate messages for each audience?
 What are the most effective channels for reaching each
audience with your message?
 What impact are you expecting from your messages?

Communication Strategy Guide: Stage 1—Attention
Communication… in order to connect to what audiences, to achieve what
goals/outcomes, to identify/overcome what resistance (e.g., needs, questions,
concerns) with what message, through which channels, coming from whom?
Communication Message
Audience Goal Resistance Message Channel Source
Adapted from: Tromp, S. A., Ruben, B. D. Strategic Planning in Higher Education Washington, DC:
National Association of College and University Business Officers, 2010. Copyright © 2011 • 122
Communication Strategy Guide: Stage 2—Engagement
Communication Strategy Guide: Stage 3—Commitment
Communication Strategy Guide: Stage 4—Action
Communication Strategy Guide: Stage 5—Integration
Explain Issue Loss of Revenue? We want your input Meeting OCM Manager
Vendors Discuss options Your views matter Personal conversations
Explain Issue Loss of facility? We face challenges Handouts
Walkers Explore options End of a tradition? We care about you Coffee & Meeting OCM Manager
Assess impact What will we do? We’ll look at options Focus Groups OC Staff
Reassure
Media Explain Issue Community loss No decision yet Informal Meetings OCM Manager
Favorable coverage We care Press Release
Potential Explain Issues Limited resources We can work together Meetings OCM Manager
Community
Partners Identify Options Why their problem? Find Mutual benefits OCM Staff
Adapted from: Tromp, S. A., Ruben, B. D. Strategic Planning in Higher Education Washington, Copyright © 2011 • 127
DC: National Association of College and University Business Officers, 2010.
When it comes to the number, complexity, and diversity
of cultures within a single organization, higher education
institutions lead all others
STAGES > 1. 2. 3. 4. 5.
FACTORS
1. Planning
2. Leadership
3. Communication
4. Culture
5. Assessment

What is Organizational Culture?
The history, language patterns, stories,

norms, rules, traditions, customs, and
preferred practices that emerge over time
characterize and shape organizational
behaviors and practices.
Source: B. D. Ruben and L. A. Stewart, Communication and Human Behavior. Fifth Edition,
Boston: Allyn-Bacon, 2005.

A Few General Concepts...
 Cultures are taken for granted. They aren’t
necessarily right or logical. They have historical
origins and are what they are.
 Organizational cultures resist change much as our
human immune systems resist irritants—intrusions
are regarded as threats and the classic fight or
flight response is natural.
 The more distinct cultures an organization has, the
greater the resistance to change and the more
creativity and tenacity is required to lead change
effectively.
 Higher education is a world-class leader when it
comes to the number and complexity of cultures.
There is No Shortage of Internal and
External Groups with a Stake in the Work
of Higher Education
 Academic  Student
– Life Sciences -Full-time
-Part-time
– Physical
Sciences -Residential
-Commuting
– Social -Distance
Sciences
– Humanities  Professional and Academic
– Performing Arts Groups
– Professions
 Boards and Advisory Groups
 Student Life
 Service  Media
 Administrative  General Public
 Government Copyright © 2011 • 131
Two Critical Cultures from the
Perspective of Change
 Administrative
 Academic

Administrative Culture:
Traditional Core Values
 …
 …
 …
 …
 …
 …
 …
 …

Administrative Culture:
 Return on investment
 Operational effectiveness
 Efficiency
 Cost effectiveness/cost savings
 Service orientation
 Collaboration
 The university as a business
 Hierarchical determination
 Faculty, staff, and students are the university
 Compliance with regulations
 Pragmatism
 Standardization of processes and procedures
 Sensitivity to local, community, and state politics
Academic Culture:
…
…
…
…
…
…

Academic Culture:
 Freedom of expression
 Collegial decision making
 Creating, advancing, imparting knowledge
 Primary loyalty to discipline rather than institution
 Higher education as unique and special—not a
business
 Students as learners—not customers
 Self determination (individual and institutional)
 The faculty is the university—particularly in terms of
input and influence
 Idealism
 Customization of processes and procedures
 Aversion to local, community, and state politics
Mini Case:
Improving Travel Policies and Practices

Mini Case:
Administrative/Staff Questions
and Concerns
1.
2.
3.
4.
5.
6.

Administrative/Staff Questions and Concerns
1. What level of savings could we anticipate if a centralized
approach were adopted?
2. Where other institutions adopted this kind of approach, did the
change deliver the anticipated cost savings?
3. What procedures and processes would need to be put in place
to implement this change?
4. Would there be additional internal staff needed, or would this
initiative be outsourced?
5. What would be the reporting lines for such an operation?
6. What new demands would this place on IT and the other
administrative offices?
7. What sorts of training be would be required? Would this need
to be done face-to-face, or could it be handled on line?
8. What would the timeline look like for implementing such a
program? What time of year would be best to introduce it?
9. How would details of the new system be communicated to the
community?
Mini Case:
Academic/Faculty Questions
and Concerns
1.
2.
3.
4.
5.
6.

Academic/Faculty Questions and Concerns
1. What would a new centralized system mean for
individual faculty members? Wouldn’t such a system
greatly reduce the flexibility and convenience that
faculty members currently have and need in their
work?
2. Doesn’t the current system seem to work quite well,
largely because it is decentralized and not
bureaucratic?
3. Where other institutions like ours use (or changed to)
this approach, how do faculty members there feel
about the system?
4. Wouldn’t any savings have to be reallocated to create
an administrative structure and additional staffing
costs?
5. How will we go about getting input from the faculty
and others within the community to fully consider the
possible change? Copyright © 2011 • 141
The Administrative and Academic
Cultures: Differences and Their Impact

The Administrative and Academic
Cultures: Differences and Their Impact
 Thoughts about planned change
 Approaches to meetings
 Language use

Comparing Administrative and Academic Cultures:
Approaches to Planning New Initiatives and Change
Administrators Academics
 Outcomes are the focus  Process is the focus

 Many aspects of planning
 All aspects of the planning process can be informal
benefit from formalization  Faculty and internal
 Plans and goals should be constituencies are primary
take account of external
stakeholders and “users”  Primary emphasis is placed on
 Emphasis should be based on brainstorming and plan
plan development and even development
more so on implementation  Visionary leadership is needed;
 Change process needs to be less so, management
managed strategically
A Major Issue: Leveraging the best aspects of both cultures,

Creating a shared approach and commitment
Comparing Administrative and Academic
Cultures: Meetings
Administrative Academic
 Attendance  Mandatory—send a sub  Elective—you or no one
 Meeting startup  Preset time  Upon arrival
 Purpose of meetings  Brief/review/plan  Discussion
 Pre-meeting prep  Prepare/review  None/think
 Decision criteria  Administrator preference  Quality of idea
 Decision  Administrator  Group consensus
making/acceptance of
decision
 Agenda is complete/  People leave
 Meetings end when preset ending time
 Notes, plans  Individual notes/memories
 Take-aways
 Plan, follow  Informal and individual
 After the meeting
A major issue: The leader’s role at meetings,

preparation, and setting expectations for follow up
Cultures: Language
When administrators say: Academics may hear:
 “Marketing”  “Costly efforts to persuade people to

accept ideas/products/services they don’t
need, when funds should be expended to
make substantive improvements”
 “Branding”  “Paying large sums of money to create
slogans and logos aimed at creating
artificial distinctions, when the money
could be better spent elsewhere”
 “Regulatory compliance”  “Intrusive external micromanaging”
 “Administrative support”  “Not likely—usually an oxymoron”
 Training  Education for dogs and other animals

ST1
Major Issue: Overcoming cultural barriers to communication: Words matter a great
deal. Academics often view “business” terms as inappropriate to refer to higher
education activities—examples above, plus talking about students as “customers” or
administrators as “managers.” This language is seen as implying that higher education
is a business, and that notion is troublesome to many faculty.
Slide 146
ST16 spacing looks funny. i would make full block or left block.
Sherrie Tromp, 3/14/2011
Cultures: Language
When academics say: Administrators may hear:
 “Collegial decision making”  “A time-consuming process that results

in no clear outcomes, and by the time
this becomes clear, the time to act has
probably passed”
 “Tenure”  “Immunity to accountability and

organizational responsibilities required of
administrators and staff”
 “Faculty participation”  “Lots of talking, not many tangibles”
Major Issue: Administrators and staff often see themselves talked about
in marginalized ways—being described as “there in support faculty and
students” (rather than as “fundamental to the mission of the
institution”). Also, a lack of understanding about the work, work styles,
and reward/recognition systems for faculty lead to staff and
administrator reactions to particular “academic-side” words and phrases.
Leadership, Communication and
Culture
The greater the number of cultural groups within an
organization, the greater the need for attention to
leadership and communication
Within higher education, intercultural

communication is the rule
Every affected group is a potential source of insight,

support and/or resistance for new directions

Strategies for Dealing with Cultural
Differences
 Identify the key cultures at play in the change effort
 Learn what matters to each group
 Create a network of engaged members from the
affected cultural groups
 Work from shared rather than divergent themes,
concerns, and goals
 Become “bilingual/bicultural”
 Develop a support network of representatives of
affected cultural groups
 Others?
Cultural Guide
Stage: Group/Cultural Issue What Needs to Be Done?
Attention
1.
2.
3.
Action
4.
Integration
5.

Cultural Guide
1.
Faculty
-Comfort with decentralized system -Identify and highlight problems with centralized system
-Value placed on autonomy -Explain flexibility and control possible in new system
-Desire for extensive deliberation -Plan systematic approach to engaging faculty community
in discussion, analysis before any decision is made
-Commitment to core mission -Document and explain how some potential savings
could provide support for teaching and research
Administration/Staff
-Frustrations with waste in current -Document and explain how new approach could reduce
system waste/duplication
-Staff workload is excessive -Document and explain how new system could reduce
work, result in cost savings which could be redirected
-Need for consistency and quality -Confirm that new system would provide more
control of travel documentation consistent and better documentation
2.
3.
4.
5.

If we don’t find ways to effectively assess our initiatives,
others will take up the challenge, and we are likely to find
their approaches less helpful than those we could have
developed for ourselves.
STAGES > 1. 2. 3. 4. 5.
FACTORS
1. Planning
2. Leadership
3. Communication
4. Culture
5. Assessment

Assessing the Impact of Change Initiatives
 Pressure is mounting for more rigorous

evaluation of higher education activities of all
kinds.
 Increasing emphasis is being placed on

documenting actual outcomes, benefits, results,
and impact.
 Change efforts require a substantial investment of

time, talent, and other resources. Monitoring
progress and assessing outcomes has become
particularly important.

Six Good Reasons Why We Don’t Need to Do
Assessment
1. We already do this in our own, personalized way. We
know whether our efforts are effective.
2. It takes time; there’s too much to do already.
3. It’s a business model; higher education is not a

business.
4. There’s no guarantee that assessment will lead to

increased quality or effectiveness.
5. It is impossible to precisely measure effectiveness or

success.
6. This is another example of the loss of our autonomy, and

one step closer to external control and regulation.
Six Better Reasons Why We Should
1. Affords an opportunity to reflect on and clarify purposes,
aspirations, and goals
2. Provides a way to determine whether valuable resources—
energy, time and dollars—are being used effectively
3. Responds to growing state and national pressures for
accountability and transparency
4. Useful for internal review and improvement processes
• Fosters constructive dialogue
• Creates a shared focus
• Helps determine/document progress toward aspirations and
goals
5. Helps to tell a persuasive story about the work you’re doing
6. Applies the expertise of higher education to improve the work
we do for our institutions

The Fundamental Assessment Questions
1. What is the initiative intended to accomplish?
2. How will progress and outcomes be measured?
3. How will this knowledge be used for improvement?
From: B. D. Ruben, Excellence in Higher Education Guide: National Association of College and University Business
Officers, 2009.
Assessment of Initiatives at all Levels
 Institution/Campus
How successful is a particular institutional initiative? What are the purposes for which
it was undertaken? What goals and strategies are being pursued? How can progress
be best evaluated? What methods are most appropriate and useful? How successful
has the effort been to date—in gaining attention, fostering engagement, securing
commitment, promoting action, and assuring long-term integration? In what ways can
assessment information be used to enhance the effectiveness of the effort?
 Academic Programs and/or Departments

How successful are particular academic and/or service change initiatives? What are
the intended purposes and goals? How can progress in fulfilling these purposes and
addressing these goals be evaluated? How can progress be monitored, and how will
this information be used for improvement?
 Administrative Units, Programs, and Services

For what purpose has a particular administrative initiative been undertaken? What
goals are being pursued? What are the most appropriate methods for evaluating
progress toward fulfillment of these purposes and goals through the stages of
attention, engagement, commitment, action and integration?

Assessment Guide
What Will Be Assessed? How? How with Info Be Used
Stage
Attention
1.
2.
3.
Action
4.
Integration
5.

Assessment Guide
What Will Be Assessed? How? How will Info Be Used
Stage
-Satisfaction with/criticisms of Focus Groups/Surveys -Exploring new approaches
Attention
present system that minimize problems

1. -Awareness that options are being Attendance at Town Halls -Developing and/or modifying
considered communication strategies
2.
3.
Action
4.
Integration
5.

STAGES > 1. 2. 3. 4. 5.
FACTORS
1. Planning
2. Leadership
3. Communication
4. Culture
5. Assessment

Easing Innovation and Change
Extensive
Negligible
Time
Adapted from Everett Rogers, The Diffusion of Innovations, and Peter Copyright © 2011 • 161
Scholtes, The Leader’s Handbook, New York: McGraw Hill, 1997
Many Change Efforts Fail Because:
 The importance of each stage in the change process is
not understood.
 Factors that are essential to change at each stage—
planning, leadership, communication, culture, and
assessment—are overlooked.
 Key constituencies are not engaged in appropriate ways
and at appropriate times
 The need for buy-in is underestimated.
 The dynamics of learning and change for individuals and
organizations is misunderstood.
 An effective leadership architecture is never designed.
 There is an insufficient level of senior-level support.
Change Principles
 Understand that no change is so small or insignificant that you
can ignore issues of planning, leadership, communication,
culture or assessment.
 Assume that you know and care much more about the change
initiative—and reasons for it—than those at other levels or
other parts of the organization.
 Create a cadre of people who will understand, support, and
champion the change—a leadership team.
 Seek the perspectives of those who have the insights,
experience, and outlooks you don’t have.
 Realize that all change has both temporary and longer-term
effects on members of the organization and other stakeholder
groups— consider the longer, as well as shorter-term impact.
 When it comes to understand the dynamics of change, try to
see things from the point of view of the affected parties, and
apply the Golden Rule.

“The choice is to be the architects of
change or its victims…”
Executive Summary, The Kellogg Commission

References, Sources and Readings
 Bennis, Warren. Old Dogs. New Tricks. Provo, UT: Executive Excellence, 1999.
 Collins, James C. Good to Great. New York: HarperCollins, 2001.
 Dervin, B. “An Overview of Sense-Making Research: Concepts, Methods, and Results to
Date.” Paper presented at the annual meeting of the International Communication
Association, Dallas, 1983, 2002 TX.http://communication.sbs.ohio-state.edu/sense-
making/art/artabsdervin83smoverview.html, 1983.
 Fairhurst, Gail, and Robert A. Carr. The Art of Framing. San Francisco: Jossey-Bass,
1996.
 Ford, Jeffrey D., and Laurie W. Ford. “Decoding Resistance to Change.” Harvard
Business Review, April, 2009, 99–103.
 Gioia, Dennis A., and Kumar Chittipeddi,.“Sensemaking and Sensegiving in Strategic
Change Initiation,” Strategic Management Journal, 12 (6), 433–448, Sept, 1991.
 Goleman, Daniel. “What Makes a Leader?” Harvard Business Review,
November/December, 1998, pp. 92–102.
 Handy, Charles. Understanding Organizations. New York: Oxford, 1993.
 Kanter, Rosabeth Moss, Barry A. Stein, and Todd D. Jick. The Challenge of
Organizational Change. New York: The Free Press, 1992.
 Kotter, John P. “What Leaders Really Do.” Harvard Business Review, December 2001,
85–97.
 Kotter, John P. A Sense of Urgency. Cambridge, MA: Harvard Business Press, 2008.
 Kotter, John P. Our Iceberg is Melting. New York: Macmillan, 2006.
 Luscher, Lotte S., and Marianne W. Lewis. Organizational Change and
Managerial Sensemaking: Working Through Paradox. Academy of Management
Journal, 51(2), 221–248, 2008.
 Lewis, Laurie K. Implementing Change in Organizations: A Stakeholder
Communication Perspective. Malden, MA: Blackwell, 2010.
 Lewis, Laurie K., and David R. Seibold. Reconceptualizing Organizational Change
Implementation as a Communication Problem: A Review of Literature and
Research Agenda, Communication Yearbook 21, 93–151.
 Maxwell, John C. The 21 Indispensable Qualities of a Leader. Nashville, TN:
Thomas Nelson, 1999.
 Pfeffer, Jeffrey, and Robert I. Sutton. The Knowing-Doing Gap. Cambridge,
Harvard, 2000.
 Rogers, Everett M. The Diffusion of Innovations, 5th ed. New York: Free Press,
2003.
 Rogers, Everett M, and D. Lawrence Kincaid. Communication Networks. New
York: Free Press, 1981.
 Ruben, Brent D., Laurie Lewis, Louise Sandmeyer, et. al. Assessing the Impact of
the Spellings Commission: The Message, the Messenger, and the Dynamics of
Change in Higher Education. Washington, DC: National Association of College
and University Business Officers, 2008.
http://www.nacubo.org/Initiatives/News/Spellings_Commission_Report.html.
 Ruben, Brent D., and Lea. Stewart. Communication and Human Behavior. Fifth
Edition. Boston: Allyn-Bacon, 2005.
 Ruben, Brent D. Pursuing Excellence in Higher Education: Eight Fundamental
Challenges. San Francisco: Jossey-Bass, 2004.
 Ruben, Brent D. What Leaders Need to Know and Do: A Leadership Competencies
Scorecard. Washington, DC: National Association of College and University
Business Officers, 2006.
http://www.nacubo.org/Products/Publications/Leadership/What_Leaders_Need_to_
Know_and_Do_A_Leadership_Competencies_Scorecard.html.
 Ruben, Brent D. The Center for Organizational Development and Leadership at
Rutgers University: A Case Study, “Organization Development and Change in
Universities” A special issue of Advances in Developing Human Resources, 7(3),
2005.
 Ruben, Brent D. Excellence in Higher Education Guide 2009: An Integrated
Approach to Assessment, Planning and Improvement in Colleges and Universities.
Washington, DC: National Association of College and University Business Officers,
2007. http://www.nacubo.org/Products/Publications/Leadership/
Excellence_in_Higher_Education_Guide_An_Integrated_Approach_to_Assessment
Planning_and_Improvement_in_Colleges_and_Universities.html.
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Leader. Washington, DC: National Association of College and University Business
Officers, 2006.
http://www.nacubo.org/Products/Publications/Leadership/Organizational_Developm
ent_Series_The_Leadership_Style_Inventory.html.

 Ruben, Brent D. The Communication Style Inventory (CSI): A Guide to Social and
Professional Competence. Washington, DC: National Association of College and
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 Weick, Karl E. Making Sense of the Organization. Malden, MA: Blackwell, 2001.
Define the Purpose
Draft Statement
What is the purpose of the planned change?

Clarify the Need
Why is the change needed?

What groups will be directly affected?
What groups will be affected indirectly?

What are the Pluses/Strengths/Assets
that should be considered?

What are the Negatives/Weaknesses/
Liabilities that should be considered?

What are the Opportunities that

What are the Threats/Risks that

Define the Goals
Draft Statement
List those goals and desired outcomes that
need to be achieved in order for the planned
change to be successful in fulfilling the
intended purposes?
What needs to be done?
1.
2.
3.
Goal 1 Strategies
1.1 …
1.2 …
1.3 …

Goal 2 Strategies
2.1 …
2.2 …
2.3 …

Goal 3 Strategies
3.1 …
3.2 …
3.3 …

Develop Action Plans
Sponsor: Project Leader:
Project Description:
Action Steps:
1. Project Members:
2. •
3. •
4. •
5. •
Funding Considerations:
Communication Considerations:
Deliverables:
Timeframe:
Effectiveness Measure(s):
How to move the initiative to action:
National Association of College and University Business Officers, 2010..
Leadership Architecture Guide
Attention
1.
2.
3.
Action
4.
Integration
5.

Communication Strategy Guide: Stage 1—Attention
Communication Strategy Guide: Stage 3—Commitment
Communication Strategy Guide: Stage 4—Action
Communication Strategy Guide: Stage 5—Integration
Intended Communication Message
Audience Outcome Resistance Message Channel Source
Cultural Guide
Attention
1.
2.
3.
Action
4.
Integration
5.

Assessment Guide
What Will Be Assessed? How? How with Info Be Used
Stage
Attention
1.
2.
3.
Action
4.
Integration
5.

STOP HERE

The 5 X 5 Matrix of Planned Change
FACTORS
1. Planning
2. Leadership
3. Communication
4. Culture
5. Assessment

Helpful Techniques for Planned Change
 Focus groups
 Surveys & cover letters
 Benchmarking
 Change homepage
 Advisory groups
 Advance notice
 Pilot tests
 Others?

These Techniques are Helpful When Used to
Address Fundamental Needs and Concerns…
 Preparation
 Information
 Needs to be included
 Reassurance
 Control needs
 Time to adjust

Effective Planned Changed Requires:
A Focus on Stages… and …
Engagement
3. Commitment
2.2.Engagement
5. Integration
1. Attention
4. Action
1. Capturing attention in a world of many people and ideas competing
for one’s time
2. Involving appropriate individuals and constituencies in a discussion
of the problem(s) and solution(s)
3. Committing to a position—acceptance or rejection
4. Translating knowledge, attitudes, and beliefs into action
5. Integrating and institutionalizing the change into the culture
And... A Focus on Key Success Factors
Planning
Leadership
Communication
Culture
Assessment
Planning—Defining the specifics of a the change plan

Leadership—Assuming personal and organizational responsibility for envisioning,
motivating, planning, coordinating, supporting, and guiding the change process
Communication—Soliciting information about needs, perceptions, perspectives, and
reactions; using that to inform message making and message sending about plans,
the change process, and progress toward outcomes
Culture—Taking account of the organization’s language, history, norms, rules,
traditions, and customs that may influence the dynamics of change
Assessment—A systematic approach to monitoring progress and outcomes
Planning
Planning in Review Leadership
Communication
Culture
Assessment
1. What is the purpose

of the change? Why is
it needed? What is the Identify Affected 2. What groups will
vision of the completed Define Purpose, Need,
and Vision Parties & be directly affected?
initiative? Stakeholders What other groups
will be concerned
3. What are the about the process or
+’s, -’s of the Scan Environment outcome?
change?
Formulate Goals 4. What do we need to do

to fulfill our aspirations?
5. How will we achieve Establish Strategies &
our goals? Action Plans
6. Prepare a draft of
Document the Plan the plan.
Adapted from: Tromp, S. A., Ruben, B. D. Strategic Planning in Higher Education (SPHE)
Washington, DC: National Association of College and University Business Officers, 2004, p. 7. Copyright © 2011 • 197
Planning
Leadership in Review Leadership
Communication
Culture
 Know, develop, and utilize your own Assessment
leadership competencies
 Engage colleagues who have the competencies and
perspectives you don’t, and a willingness to challenge you
 Assure broad and representative participation
 Anticipate sources and types of resistance
 Design leadership architecture
 Develop or import subject matter expertise
 Create a team of leaders and change agents
 Oversee and guide the planning process
 Manage and model communication
 Understand and leverage organizational culture
 Emphasize the importance of assessment and outcomes
 Maintain a strategic focus
 Oversee the effort through the integration stage
 Ensure that the incentive and reward systems reinforce
organizational and initiative aspirations and goals
Planning
Communication in Review Leadership
Communication
Culture
Assessment
 Emphasize the “what’s in it for me” in
communication in all stages
 Clarify the need for change and convey an appropriate
sense of urgency
 Focus attention
 Select appropriate message(s) for each key
audience at each stage
 Give attention to matters of framing and ensure repetition
 Be strategic and deliberate in channel and source
selection—identify and use opinion leaders
 Encourage broad input and dissemination
 Don’t overpromise
 Showcase and recognize progress and accomplishment
and those who make it possible
 Recognize successes in implementation
Planning
Cultural Issues In Review Leadership

Communication
Culture
Assessment
 Understand the local culture(s) involved or

affected by the change initiative
 Anticipate sources of cultural support/resistance
 Leverage and utilize cultural traditions to benefit
from the perspectives and assets of all represented
cultures
 Be deliberate in choices about terminology,
stories, examples
 Identify cultural facilitators and barriers
 Realize the initiative is not completed until the
change becomes part of the culture

Planning
Assessment Issues in Review Leadership
Communication
Culture
Assessment
 Select appropriate assessment tools
for an initiative using a blend of qualitative and
quantitative methods
 Be deliberate in establishing goals and methods of
assessment
 Use assessment techniques to identify and track
levels interest and concern, understanding, and
commitment
 Identify methods for identifying potential sources of
resistance
 Track progress and outcomes against specific
initiative goals
 Identify gaps and use this information to close them
 Assess the effectiveness of all stages including
integration
 Report relevant results widely Copyright © 2011 • 201
The 5 X 5 Matrix of Planned Change
FACTORS
1. Planning
2. Leadership
3. Communication
4. Culture
5. Assessment

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Brent D. Ruben, Ph.D.

Remember New Year’s Eve??

Life’s brick walls . . .

Habit, history, tradition—all powerful

Source: B. D. Ruben, Organizational Development and Change in Universities, Advances in

Without a good working knowledge

Source: B. D. Ruben, Organizational Development and Change in Universities, Advances in

 Clarifying a need, challenge, or problem

 Identifying and involving all individuals and constituencies with a stake in

 Identifying areas of agreement

 Clarifying intended outcomes

Integrating and institutionalizing the change into the culture

 Recognizing and rewarding innovators

Leadership — Developing an appropriate personal and

Communication — Committing to an ongoing process of

Culture — Taking account of organizational history, rules,

Assessment — Monitoring progress and outcomes

 Introducing a new travel policy

 Updating a web site

 Purchasing new office furniture

 Centralizing support services

Establish Strategies &

Document the Plan

Establish Strategies &

Document the Plan

Define Purpose Identify Affected 2. What groups

Establish Strategies &

Document the Plan

3. What are the

Establish Strategies &

Document the Plan

Define Purpose Identify Affected

3. What needs to Scan Environment

Document the Plan

Document the Plan

 Strategies (How can each goal be

Funding Considerations: What resources are required to make this project a

The Senior Walk-for-Health Program

“Ocean City Mall announces termination of health program for

“Two week termination notice signs posted on OCM doors”

“Mall officials deny access to media”

“Management refuses to respond”

“Disenfranchised walkers pledge to take their business elsewhere”

What is the purpose of the planned change?

To eliminate or reduce costs associated with

Heating and cooling expenses, personnel

What groups will be directly affected?

What groups will be affected indirectly?

Groups that will be directly affected

Groups that will be affected indirectly

• Mall shoppers (who will see posted signs or

• What are the Negatives/Weaknesses/

• What are the Opportunities?

• What are the Threats/Risks?

• Eliminating the program will reduce operating and

• There is a dedicated group of walkers who have come to

• Depending on how the termination is handled, there

List those goals and desired outcomes that

What needs to be done?

1. Reduce costs and explore revenue

Goal 2: Determine and address potential

Goal 3: Promote mall as a community partner

How to move the initiative to action: