Week 6 Discussion and Summary

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Chapter 10:
Get and Use Data

Throughout the Change Process

Chapter Overview
• Measurement and control processes can play critical

roles in guiding change and integrating the initiatives of
others throughout the Change Path Model

• Four types of control systems are discussed:
Diagnostic/Steering Controls, Belief Systems, Boundary
Systems, and Interactive Controls

• Different types of controls are needed at different
stages of the change process

• The use of strategy maps as an alignment tool is explored

• Three measurement tools are presented: the Balanced
Scorecard, the risk exposure calculator, and the duration,
integrity, commitment, and effort (DICE) model

The Change Path Model

Awakening
Chapter 4

Mobilization
Chapters 5 through 8

Acceleration
Chapter 9

Institutionalization
Chapter 10

• Tracking and
measuring the
change over time to
assess progress,
make modifications
(as needed), and
manage risk

• Institutionalizing the
change through
aligning related
systems and
structures

Can Control Processes Facilitate Change?

• Change agents often complain about how control
systems and metrics impede change

• BUT when controls and metrics are effectively
deployed, they can be powerful aids to change

• First understand the impact of existing controls
on the change initiative

• Then tackle the challenge of aligning controls
and measures to facilitate change

Toolkit Exercise 10.2—Impact of Measures and
Control Processes on Change

Think of a change initiative that you are familiar with:

1. What measures and controls were used to track the change?
Were they congruent with the change vision and strategy? Were
they viewed as legitimate by users?

2. How was information captured and fed back? Did it arrive in a
useful and timely form?

3. Did measures need to evolve and be modified over the life of the
change initiative? How was this managed?

4. Were steps taken to ensure measures would be properly used?
Were there risks arising from their use that needed to be
managed?

Toolkit Exercise 10.2—Impact of
Measures and Control Processes on Change

5. Were goals and milestones established, used to plot process,
and make midcourse corrections? Were small victories
celebrated?

6. Were the end state measures developed for the change
consistent with the vision and strategy? Were they viewed as
legitimate?

7. How were the end state measures fed back to users?

8. Were steps taken to ensure that end state measures were
properly used? Were there risks and potential consequences
that needed to be managed?

Choosing Measures

• Focus on key factors
• Use measures that lead to challenging but

achievable goals
• Use measures and controls that are perceived

as fair and appropriate
• Avoid sending mixed signals
• Ensure measures deliver accurate and useful

data
• Match the precision of the measures with the

ability to measure

The Change Context and the Choice of Measures

Choose Precise,
Explicit, Goal-

Focused
Measures

Choose
Approximate

Measures, Vision
Focused, “Learn as
You Go” Measures

When
Complexity

and
Ambiguity

are:

Low High

When Time to
Completion

is:
Short Long

Types of Control Levers

• Interactive Controls—systems that sense
environmental changes crucial to strategic
concerns (e.g., market intelligence)

• Boundary Systems—systems that set limits of
authority and action and determine acceptable
and unacceptable behavior

• Belief Systems—organizational values and
beliefs that underpin decisions

• Diagnostic/Steering Controls—traditional
control systems, focused on key performance
variables

The 4 Levers of Control

Change
Strategy

Risks to
be

Avoided

Critical
Performanc
e Variables

Core
Values

Strategic
Uncertainties

Interactive
Control Systems

Belief Systems Boundary Systems

Diagnostic
Control Systems

Control System Measures and Stage of the
Change

Controls When
Planning
Change

Controls in Early
Stages of Change

Controls in
Middle Stages

Controls Toward
End of Change

Initiative

Interacti
ve

Controls

• Assessing
opportunities
and threats

• Testing
viability of
existing
vision,
mission, and
strategy,
given the
environment

• Affirm that
change project is
aligned with
environmental
trends

• Assess how to
use trends to
increase
prospects for
success

• Ongoing
monitoring

• Confirm that
environmental
assessment
continues to
support the
change

• Obtain
feedback
regarding
success of the
change relative
to
environmental
factors

• Ongoing
environmental
scanning

Control System Measures and Stage of
the Change (cont..)

Controls When
Planning
Change

Controls in Early
Stages of Change

Controls in Middle
Stages

Controls Toward
End of Change

Initiative

Boundary
System

• Limit the
change
options to
those within
the boundary
conditions

• Test the limits
of what is
acceptable

• Go/no go guidance
on
appropriateness of
actions

• Go/no go
guidance on
appropriateness
of actions

• Reassess risks
• Reestablish

boundaries, if
needed

• Test new
boundaries,
where
appropriate

• Re-evaluate the
boundary limits

Controls When
Planning
Change

Controls in Early
Stages of Change

Controls in
Middle Stages

Controls Toward
End of Change

Initiative

Belief
System

• Assess
congruence
with purpose

• Congruence
assessment

• Appeals to beliefs
to overcome
resistance

• Congruence
assessment

• Re-evaluation of
core values

Control System Measures and Stage of
the Change (cont..)

Controls
When

Planning
Change

Controls in Early
Stages of Change

Controls in
Middle Stages

Controls Toward
End of Change

Initiative

Diagnostic
and

Steering
Controls

• Assess
impact of
controls on
the change
project

• Consider
what
diagnostic
controls will
need to be
developed
and/or
altered

• Develop
milestones,
diagnostic
measures, and
steering controls

• Develop tactics to
alter control
systems as
needed

• Evaluate
progress
against
milestones and
measures

• Assess whether
things are
workings as
they should

• Modify
milestones and
measures as
needed

• Determine when
project is
completed

• Confirm
changes are
working
appropriately

• Evaluate project
and pursue
learning on
improvements
for the next time

Control System Focus an Stage of the Change

Early Stage of
Change

Middle Stages of
Change

Late Stages of
Change

Focus on the
“what” of change

Focus on the
“how” of change

Focus on
outcomes and the

“what next” of
change

Strategic
Analysis: Goals,

Resources,
Environment

Measure
Progress and

Effectiveness of
Processes

Strategic
Reanalysis:

Goals,
Resources,

Environment

Toolkit Exercise 10.3—Application of
Simon’s Control Systems Model

Consider a change you are familiar with:

1. Describe the control processes and measures that were used. What was
their impact?
a. During the earlier stages of the change initiative
b. During the middle stages of the change initiative
c. During the later stages of the change initiative

2. Were there forbidden topics, such as questioning strategy or core values?
Were those limits appropriate and were limits tested?

3. Were small successes recognized and celebrated along the way?

4. What changes to measures and control processes would have assisted
change?

Strategy Maps and Change

• Visual representation can be used to show
how the change vision and strategy intend to
link with each other.

• They are linked through:
• Employee learning and growth targets and

goals
• System and process targets and goals
• Customer (internal/external) targets and

goals
• Desired financial targets and goals

Strategy Maps and Change (cont..)

Human Capital Informational
Capital

Organizational
Capital

LEARNING AND GROWTH
PERSPECTIVE

INTERNAL PROCESS PERSPECTIVE

CUSTOMER PERSPECTIVE

FINANCIAL PERSPECTIVE

VISION FOR CHANGE
AND STRATEGYHow Strategy

Links the
Perspectives

A Generic Strategy Map
Le

ar
ni

&
G

ro
w

th
In

te
rn

al
C

us
to

m
er

Fi
na

nc
ia

l
W

hat do w
e w

ant to
accom

plish?
H

ow
do w

e plan to
accom

plish this?

1.Human Capital
(staff competencies)

2. Information Capital
(technology

infrastructure)

3. Organizational
Capital

(climate for action)

Customer
mgmt

leadership

Innovation
& comm.

supremacy

Internal ops
excellence

Effective
governance
and control

Perception,
public

relations

Current Migrated New New
offerings

Solution
focused

Scalability
strategies

Add / retain value
customer

Increase
revenue/customer

Reduce
cost/customer

Revenue Growth Strategy Productivity Strategy Asset
Utilization

Maximize Organizational Value

The Balanced Scorecard and Change
Management

Vision
and

Strategy
Customers

Internal
Business
Process

Financial
Shareholders

Employee
Learning

and Growth

Generic Balanced Scorecard for Change

Vision & Change
Strategy

Customers: To
achieve our change
vision, how should
we appear to our

customers?

Internal Bus.
Processes: To

achieve our change
vision, what

business processes
do we need to excel

at?

Financial: To succeed financially, how
should we appear to our

shareholders?

Learning and Growth: How will we
sustain our ability to change and

improve?

Objectives Measures Targets Initiatives
1.

O M T I
1.

Toolkit Exercise 10.4—Aligning Change and
Building the Balanced Scorecard

Think about a change you are familiar with:

1. State the Mission, Vision, and Strategy for the change.

2. Consider the Mission, Vision, and Strategy of the organization:
• Is the proposed change consistent with these?
• If not, what needs to be done to bring them into alignment?

3. Financial Component of Scorecard: If you succeed with the
change vision, how will it appear to the shareholders or those
responsible for funding the change? How will you know
(objectives and metrics)?

4. Customer Component of Scorecard: If you succeed with the
change, how will it appear to your customers? How will you
know (objectives and metrics)?

Toolkit Exercise 10.4—Aligning Change and
Building the Balanced Scorecard (cont..)

5. Internal Business Processes Component of Scorecard: If you
succeed with the change, how will it appear in your business
processes? How will you know (objectives and metrics)?

6. Employee Learning and Growth Component of Scorecard: If you
succeed with the change, how will it appear to your employees
and demonstrate itself in their actions? How will you and they
know (objectives and metrics)?

7. Lay out the scorecard you’ve designed for your change and
seek feedback from a classmate.

8. Can you show how the different components are connected to
each other by developing a strategy map for the change?

Factors Leading to Increase Risk

• Change Pressure—Risk increases when change
leaders feel:
• Significant pressures to produce and accomplish the

change
• There are high levels of ambiguity
• The leaders have little experience with change

• Change Culture—Risk increases when:
• The rewards for risk taking are high
• Senior executives resist hearing “bad” news
• There is internal competition between units

• Information Management—Risk increases when:
• The situation is complex and fast changing
• Gaps in diagnosis exist
• If decision making is decentralized

Toolkit Exercise 10.5—Using the Risk
Exposure Calculator

Score

Change
Pressure

Pressure to
Produce

Low High
1-2-3-4-5

Level of
Ambiguity

Low High
1-2-3-4-5

Experience with
Change

High Low
1-2-3-4-5

Out of 15
___

Change
Culture

Rewards for
Risk-taking

Low High
1-2-3-4-5

Executives
Resist Bad

News
Low High

1-2-3-4-5

Internal
Competition
Low High

1-2-3-4-5

Out of 15
___

Information
Situation

Situation is
Complex and
Fast-changing
Low High

1-2-3-4-5

Gaps Exist in
Diagnostic
Measures

Low High
1-2-3-4-5

Change
Decision-
Making

Decentralized
Low High

1-2-3-4-5

Out of 15
___

Four Key DICE Factors
Duration [D]

• The time until the change program is completed or the
amount of time between reviews of milestones

Integrity [I]

• Extent to which companies can rely on teams of
managers, supervisors, and staff to execute change
projects successfully

Commitment [C]
• Dedication and support from top management [C1] and

the employees [C2] to the change initiative

Effort [E]
• Additional work that the change initiative demands from

employees

Toolkit Exercise 10.6—Applying the DICE
Model

Consider a change initiative that you know is
currently being considered for adoption and apply
the DICE model to it.

1. Duration Score: 1 — 2 — 3 — 4 Score: ___

• Score of 1 if formal reviews less than 2 months
• Score of 2 if formal review every 2–4 months
• Score of 3 if formal review every 4–8 months
• Score of 4 if formal review more than 8 months

Toolkit Exercise 10.6—Applying the

DICE Model (cont..)

2. Integrity of Performance Score: 1– 2 — 3 — 4 Score: __

• Score of 1 if team leader has the skills needed and the
respect of coworkers, team members have the skills
and motivation to complete the project on time and at
least 50% of the team members’ time has been
assigned to the initiative

• Score of 4 if change team and change leader are
lacking on all dimensions

• Score of 2 or 3 if the factors lie somewhere in-
between

Toolkit Exercise 10.6—Applying the DICE
Model (cont..)

3. Commitment Score is a 2-part measure…

a. Senior Management Commitment: 1-2-3- 4 Score: __

• Score of 1 if words and deeds of senior managers
regularly reinforce the need for change

• Score of 2 or 3 if senior managers are fairly neutral
• Score of 4 if senior managers are perceived as less than

supportive

b. Employee Commitment: 1 –- 2 –- 3 — 4 Score: ___
• Score of 1 if employees are very supportive
• Score of 2 if they are willing but not overly eager
• Scores of 3 or 4 as reluctance increases

Toolkit Exercise 10.4—Applying the

DICE Model (cont..)

4. Level of Additional Employee Effort and Demands over
the Normal Load:

1 –- 2 –- 3 — 4 Score: ___

• Score of 1 if incremental effort less than 10%

• Score of 2 if incremental effort 10% to 20%

• Score of 3 if incremental effort 20% to 40%

• Score of 4 if additional effort more than 40%

Interpreting DICE Change Risk Scores

Calculating the DICE Score:
(Duration Score +
2 × Integrity Score +
2 × Senior Management Commitment Score +
Local-level Commitment Score +
Effort Score)

Interpreting the Score:
§ Scores between 7 and 14: Win Zone
§ Scores between 14 and 17: Worry Zone
§ Scores over 17: Woe Zone

• Do the findings help you to think about sources of risk
and how to manage risk?

Summary

• Care taken in the selection of measures and control
processes help focus energy and effort

• They can help enhance the efficiency and
effectiveness of the change, provide an early
warning system, and provide direction to midcourse
corrections

• They can help clarify what will be accomplished, what
it will take to bring these things to reality and chart
progress

• The careful selection and use of metrics can be
used to enhance the legitimacy and sense of
ownership of the change

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We Accept

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Get a 15% discount on your order using the following coupon code SAVE15