INCREASING CHANGE APPROACH EFFECTIVENESS1

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INCREASING CHANGE APPROACH EFFECTIVENESS

1 A benchmark study between the police forces

Groningen, IJsselland and Noord-Holland Noord

WILLEM KIEVIET University of Groningen

April, 2008

At present, the Dutch police force is in transition towards a process-oriented organization. The ability for coping with the growing number of process improvements is essential for all police forces. By using a benchmark study, the variations in change approaches between the police forces Groningen and the two police forces IJsselland and Noord-Holland Noord (the last two are considered highly effective in process improvements) have been explored. Results from a series of qualitative interviews show that the benchmark forces utilize different change approaches, characterized by considerable relative variations between the balances in planning, leadership and focus of change. While it proved difficult to relate these variations to change approach effectiveness, it is made explicit that the police force Groningen can take specific steps directed at increasing change approach effectiveness.

Keywords: change approach effectiveness; change management; process-oriented organization; process improvement.

“ Will we dwell in what our forefathers bestowed on us; will we not do anything ourselves; will we resist timely advance; well then, rather than advance, we will face decline ”

— J.R. Thorbecke (1798 – 1872) first Prime Minister of the Netherlands

INTRODUCTION

Organizational changes of great variety and complexity occur at an ever increasing pace and frequency (Kotter, 1996). Entire nations are undergoing profound changes, and Dutch organizations are no exception. There is a rather alarming proof in numbers: nearly two-thirds of all organizational change efforts fail, often carrying with them huge human and economic tolls (Beer et al., 1990; Boonstra, 2004; Kotter, 1996). While organizational change may well be the most oft-repeated and widely embraced term in the corporate and governmental world, it is also the least understood (Beer & Nohria, 2000).

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Obviously, for the Dutch police being effective at organizational change is essential in guaranteeing the safety of the Dutch civilian. At present, for all twenty-five regional police forces a challenging task has emerged; the increasing pace and frequency of organizational change stresses the necessity for utilizing a more effective approach towards change. The police force Groningen has enclosed their vision on this changing world in Gronings Goud (2008). This study contributes to this vision by reviewing the current change approach and finally, proposing recommendations for increasing its effectiveness. It is an integral element of the Plan van Aanpak Auditrapport Groningen (2007).

Management Problem

The latest report of the audit commission (Audit Report Police Groningen, 2007) concluded that the change organization is no longer considered effective. The term change organization (or change approach) is generally used to indicate the complete structure for initializing, shaping, implementing and institutionalizing process improvements. The audit commission reports the following fields of attention:

- the vision on a process-oriented organization is not made explicit; - bottom-up contributions of employees to change projects seem limited; - a frame for degrees of freedom for employees seem unclear;

- chosen solutions for improving processes are not questioned during evaluations; - a clear strategy for implementing and institutionalizing change is lacking; - there is insufficient overview of the progress of change projects.

One of the managers uses the following metaphor: “… our organization can be compared with a large ship forcefully trying to move itself forward by placing a large amount of thrust on the propeller. At a given speed, pressure differences cause for a vacuum which introduces a contradictory maritime phenomenon called squad: instead of moving itself forward the ship’s depth increases and ultimately the entire ship comes to a standstill”. Giving the fact that the Dutch police forces are subject to an ever increasing number of process improvements (The Police in Evolution, 2005) this development stresses the necessity for increasing the change approach effectiveness.

Research Objective

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Research and Investigative Questions

Due to the relative autonomy typical to the twenty-five police forces, it is expected that the police forces utilize variable change approaches, automatically inducing the existence of superior (above average) police forces. Thus, a benchmark study with (two) police forces who are considered highly effective in improving processes is justified. The following research question emerges:

Q1: how can variations in change approaches between the police force Groningen and two highly effective police forces be used to increase change approach effectiveness?

Answering this research question asks for further insights into the concept of change approaches effectiveness. In their work on theory and practice of change approaches Beer & Nohria (2000) attended several issues related to change approach effectiveness. According to Beer & Nohria, two dramatically different approaches to organizing and structuring change are being employed in the world today: theory E and theory O. Both are aimed at improving organizational performance and have extremely contradicting views towards change management, specifically when it comes to planning, leadership and focus of change. Beer & Nohria do not claim any theory being more effective than the other. Instead, they argue that true effectiveness is only found when both theories are carefully balanced in accordance with organizational needs and environmental contingencies. Thus, if a carefully balanced change approach in terms of E and O results in increased effectiveness, it is interesting to see how the police force Groningen and the two benchmark forces organize and structure their balances in planning, leadership and focus of change. Subsequently, it is interesting to find out how these variations in balance can be used to increase the change approach effectiveness at the police force Groningen. This line of thought leads to the following investigative questions:

IQ1: what are the variations in the balances in planning of change and how can they be related to change approach effectiveness?

IQ2: what are the variations in the balances in leadership of change and how can they be related to increase change approach effectiveness?

IQ3: what are the variations in balances in focus of change and how can they be related to change approach effectiveness?

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THE POLICE ORGANIZATION

The Dutch Police

The Dutch police are divided into twenty-five regional forces and the National Police Services Agency (KLPD) with various supporting divisions. A police force is responsible for policing in a given area known as the police region. The size of a regional force depends on factors such as population size, crime levels and building density. Each regional force is divided into a number of districts, departments or divisions. The management of each of these police forces has some discretion in the exercise of duties and the definition of its priorities is allowed in order to account for regional needs.

Each year the Dutch government demands a more effective police (National Budget 2006 - 2007). A couple of years ago police forces and government parties agreed that centralization on a national level can lead to this more effective police force. This agreement has lead to a centralized automation, shared services, performance agreements and the introduction of the RBP (Reference model Police Processes) and INK (Institute Dutch Quality) models. This ongoing centralization may ultimately lead to one National Police; an apparition for some, a blessing for others. Now, in the year 2008, there is a fierce discussion to what extent the development of the National Police should be continued. In the years to come, it is expected that the Dutch government shall make decisions to what extent this movement indeed shall be persisted. These decisions can directly influence the way future change approaches are utilized; i.e. a National Police and ongoing centralization may result in different variations in the balances in planning, leadership and focus of change.

INK Excellence and Process Improvements

In the year 1996 the project group Quality Care System advised the Dutch police to introduce the INK Excellence model (see figure 1); a model derived from the EFQM Excellence model. Central in this model is the Deming cycle (PDCA) of continuous improvement (Deming, 1982). It is a non-prescriptive framework for improvement and change at all organizational levels (EFQM, 2004).

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The model is based on nine criteria divided into five enablers and four results. The enablers hold conditions for successful change: incorporation in policy and strategy, management dedication, people integration, adequate supply and utilization of resources and partners and finally, incorporation in the key processes. Subsequently, enables cause results. Furthermore, the model distinguished five phases of organizational development based on the generation model for quality management of Hardjono & Hes (1993). The product-oriented phase of an organization represents the first phase, followed by the process-oriented, the system-oriented, the chain-oriented and finally, the total-quality phase. This distinction in phases supports self-assessment and helps interpreting organizational results.

The police utilize the core processes Intake, Emergency assistance, Maintenance & Surveillance and Investigation (Police Department, 2004). During the Intake process the police respond to requests from individuals and businesses. Emergency assistance involves the physical response of the police to incidents. The Maintenance & Surveillance process includes i.e. the granting of licenses, monitoring compliance with regulations, investigating offences, providing information and applying sanctions. Each operational process has a number of sub processes; examples are domestic violence transactions, honor-revenge and Community Policing (GGPZ). Improving these processes is incorporated into the INK Excellence model by the enabler Processes. Processes is referred to as excellent organizational design which manages and improves processes in order to fully satisfy and generate increasing value for customers and other stakeholders (EFQM, 2004). Process improvements come in different shapes and sizes. In this study, when addressing issues of process improvements, both large- and small-scale process improvements are meant.

The Police Forces Groningen and the two Benchmark Forces

The selection of the two benchmark forces IJsselland and Noord-Holland Noord (NHN) is based on their excellent scores in the INK enabler Processes. Having relative autonomy on how to structure their organization, the police forces are differently shaped and strategically positioned. Relevant structural aspects are displayed in table 1 and are briefly elucidated in the remainder of this paragraph.

GRONINGEN IJSSELLAND NHN

Employees Approximately 1600 Approximately 1250 Approximately 1600

Organizational structure Matrix, based on three layers Matrix, based on two layers Matrix, based on two layers

Districts Y/N Y N N

Clear vision on (structural) steps towards a process oriented organization Y/N

N Y Y

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Formal responsibility for quality Process director (four FTE) Process director (four FTE) Process director (four FTE)

Dual authority regarding responsibility for results and quality Y/N

Y Y Y

Support of the responsibility for quality

Process director assistant (four FTE, one per process)

Quality circles (unknown number of FTE, one per process)

Domain advisors (eight FTE, two per process)

Table 1: structural aspects of the police forces Groningen, IJsselland and NHN

The Police Force Groningen

The police force Groningen is an ambitious, innovative and intrinsically motivated police force that continuously tries to develop itself (Police Force Inventory Groningen, 2007). Central in the vision are the development of the professional employee, coaching leadership, social orientation and learning & innovating (Gronings Goud, 2008). The police force maintains a hierarchical matrix structure, which is a strong form of horizontal linkage in which both product and divisional structures (horizontal and vertical) are implemented simultaneously (Davis & Lawrence, 1977). Formal responsibility for results is at the three chiefs of district. It is their task to supervise operational results within their demarcated geographical and functional domains. Formal responsibility for the quality of the processes is with the four process managers, who’s primary task it is to design and improve processes. For this purpose, each process manager is equipped with one fulltime assistant. The police force has not yet made its vision on the process oriented organization explicit (Audit Report Police Groningen, 2007).

The function of chief of district and process manager is embodied into one person. Initiatives for process improvements often start with a request of the chief of district. Then, he or she forms a project team to execute the process improvement. The chief of district addresses these issues directly to a process manager, but since the process manager is the same person as the chief of district, this sometimes leads to a situation where the chief of district needs to address himself in his role as process manager. A structure wherein two functions are embodied into one person is referred to by Davis & Lawrence as a dual-authority structure.

The Police Force IJsselland

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is increasingly delegated to the twelve chiefs of team, who in turn rely on the two chiefs of task for each team. In the new structure, everything regarding results that formerly occurred on district level is either being centralized or moved to team level.

Responsible for quality of the processes is the process manager; the processes Intake and Emergency Assistance are integrated into one processes, as well as the processes Steering and Support. For executing his primary task (to design and improve processes) each process manager is equipped with a quality circle, wherein a cross-selection of several organizational representatives participate (varying from the process managers himself/herself to community constables). Initiatives for process improvements are executed by so-called verbeterteams (change teams) by means of projects. It is yet to be determined what role the quality circles have in the two-layer structure.

The Police Force Noord-Holland Noord

In 2003, the police force has made a shift from a traditional hierarchical structure to a more process-oriented structure (Excellent Politiewerk, 2006). In this (still ongoing) transformation the cluster-, district- and unit-layers were dissolved, transferring the emphasis to the core processes and process improvements. Similar to the police force IJsselland, NHN maintains a two-layer structure. In this structure, the span-of-control increased to a large extent. For example, the core process Maintenance & Surveillance now counts as much as seven hundred employees.

Responsibility for the results is based on two levels: for each process at a process director, and geographically at the seven heads of department. Responsibility for the quality of the processes is also at the directors, indicating that NHN also maintains a dual-authority structure. The primary tasks of the process manager are not different from their colleagues; to design and improve processes. To assist the process director, he or she is equipped with a number of policy- and process advisors, and two fulltime domain advisors who‘s task it is to pick up signals and requests for process improvements not only within their own police force on tactical and operational levels (and also at other police forces). Furthermore, it is their task to maintain the overview on project-related process improvements. Due to the integrated line- and process-steering the quality of processes is managed region-wide.

THEORY

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Change Approaches

In the sixth century B.C. the Greek philosopher Heraclitus of Ephese spoke the words panta rhei, meaning ‘all is flux, nothing stays still; nothing endures but change’ (Laertius Diogenes, 1925). Heraclitus saw the world as an area of fighting antagonisms, of contradictions as day and night, life and death, chaos and control. These antagonisms cannot exist simultaneously and are in constant struggle with each other. Heraclitus ideas seem to be ever valid in social sciences, management and organizational change, since theories using bipolar modes of thinking (paradoxes, contradictions and dichotomies) still are plentiful.

Modernistic and Post-modernistic Points-of-view

Whilst most theories on change approach effectiveness are likely to comprehend some part of the truth, the search for that all-embracing, universal approach to organizational change continues. According to Burnes (2004) our preference for change approaches relates to the way we see the world. He distinguishes two fundamentally different views; modernism and post-modernism. A modernistic point-of-view comprehends a strong belief in progress, economic and scientific rationality. In contrast, a post-modernistic point-of-view rejects the idea of the ‘one best way’, believing that knowledge is relative, not absolute. It is a way of looking at the world which rejects any attempt to build systematic explanations of history and human activity, concentrating on ways in which human beings ‘invent’ their worlds instead (Watson, 1997).

Theory E and O

Based on the principles of post-modernism, Beer & Nohria (2000) present their theory E and O approach. Theory E has is characterized by the creation of economic value (or shareholder value), by planned change projects, a top-down leadership style and a dominant focus on formal structures and systems. In contrast, theory O has as its purpose the development of the organization’s human capability and potential. It is characterized by a participative leadership style and focus on developing a high-commitment culture. Change projects are emergent instead of planned and programmatic. As mentioned, Beer & Nohria do not claim any change approach being more effective than the other. Instead, they argue that true effectiveness is only found when both theories are carefully balanced in accordance with organizational needs and environmental contingencies. The introduction also showed that Beer & Nohria distinguish three managerial tensions that help to structure and organize an effective change approach: planning, leadership and focus of change (table 2).

THEMES THEORY E THEORY O

Planning Programmatic Emergent Leadership Top-down Participative Focus Structure & Systems Culture

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Planning of Change

Beer & Nohria (2000) refer to planning of change as the extent to which change efforts are seen and employed as formal, rational and pre-planned processes. Change efforts involve the process of getting from one place to the other; from an old to a new state. Beer & Nohria’s theory suggests there are competing views on how do so, raising the question whether organizations should take charge of these change efforts by utilizing a systematic plan of action, carefully setting out and sequencing the various stages of change efforts or that they should rely on self-organization, innovation, experimentation and naturally occurring changes? These issues represent the first tension: planning of change.

According to Ghoshal & Bartlett (2000) a short and tight schedule is indispensable for change in turbulent environments. A well-choreographed and sequenced plan is more likely to yield satisfying results than change efforts that are spontaneous and emergent. As prominent theory E representatives Ghoshal & Bartlett’s research reveals that the process of change cannot be left to evolve on its own accord. “It is also a mistake to believe that there are many paths to the same destination” they say. They argue that the success of planned change efforts (like process improvements) depends on the way it is communicated to organizational members. Communication in planned change (being the first variable) is defined as the extent to which organizational members are informed about the reasons, implementation and progress of a planned change effort (Kotter, 1995). Kotter concluded that managers in change efforts often under communicate to a great extent. Moreover, for planned change to be effective, Ghoshall & Bartlett plead for giving attention to the variables reflection and knowledge-sharing. They define reflection as the process of giving feedback to inferiors, peers and superiors. They define knowledge-sharing as the extent to which an organization consciously and comprehensively gathers, organizes, shares and analyzes knowledge in terms of resources, documents and people skills.

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dynamic of innovation whilst using it effectively is one of the greatest challenges for modern management (Francis & Bessant, 2005). According to Weick, giving attention to these three variables brings many advantages, but the main message here seems to be that emergent change forms the infrastructure that determines whether planned change will succeed or fail.

Leadership of Change

Literature on leadership goes back many hundreds of years if one takes into account The Art of Warfare by Sun Tzu, which was written in China around 400 BC (Michaelson, 2001). Since then, there have been a plethora of theories which, as Thomas (2003) comments, have probably caused more confusion than clarification. Since the police organization applies the INK Excellence model the following definition seems justified: “… leadership is how executives develop and facilitate the achievement of the vision and strategy of change” (EFQM, 1999). The need for change and for leaders who can successfully manage change continues to grow (Beer & Nohria, 2000). The introductory chapter indicated that this is also true for the police force Groningen, leading to the following question: should change be managed by one individual or a handful of strategic executives or should a greater number of tactical executives and operational employees participate in change efforts? These issues represent the second tension: leadership of change.

Tannenbaum & Schmidt (1973) captured this tension by ranging possible leadership behaviours available to a person. In their model, each type of action is related to the degrees of authority used by executives in making decisions and to degrees of freedom available to subordinates in making decisions (see figure 2). The actions on the extreme left characterize executives maintaining a high degree of authority; those seen on the extreme right characterize executives maintaining a high degree of freedom for subordinates.

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Conger (2000), a theory E adapt pur sang, argues that only those with the vision and capability to drive change can be successful. “Effective change begins at the top within a team of senior executives” he continues, using the following metaphor to strengthen his case: “Like generals on historic battlefields, only leaders who sit on the top of the hills have a broader view of the situation. Only they can be entrusted with allocating resources that are beyond the scope of any individual. Only they can enjoy the allegiance of the troops, who need to believe that someone is leading them”. Although the idea of top-down leadership is often unpopular, many scholars and managers believe pressure from the top in change efforts to be highly effective (Kotter, 1996; Jones et al., 2000).

One of the advocates opposing this view is Bennis (2000). He believes that a participative leadership style is essential in any change effort; it is a myth to think that one heroic leader can effectively drive change as modern organizations are becoming increasingly complex, technologically sophisticated and knowledge intensive. In these network-like organizations it is unimaginable that one (or even a handful) individuals are able to possess the wisdom and knowledge needed for tackling change efforts effectively. Instead, strategic executives must learn to walk in the crowds again, since no change can occur without willing and committed followers. Bennis defines this variable as the extent to which executives are approachable, visible and present amongst operational employees. The last variable for effective participative leadership comes from Quinn & Spreitzer (1997), indicating the importance of empowerment. They define empowerment as the delegation of power and responsibility to subordinates.

Focus of Change

Focus of change is the extent to which organizational changes focus on structures & systems or culture (Beer & Nohria, 2000). This leads to the question to what extent change efforts at the police should focus on either formal organizational arrangements such as structure and systems or on dealing with and acknowledging culture. These issues represent the third tension: focus of change.

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Hirschhorn (2000), representing theory O, argues that emphasis on structure and systems, particularly if imposed from the top, will not achieve fundamental change by pointing out that employees invest in structure and systems with moral meaning. That is why effective change should be about changing organizational culture. A widely accepted definition is offered by Eldridge & Crombie (1974), stating that “…culture refers to the unique configuration of norms, values and beliefs shared by employees”. Hirschhorn argues that, over time, culture gives legitimacy to these structure and systems; simply changing structure and systems does not change culture. A focus on culture means that management should engage people emotionally in order to create emotional attachment. For creating cultural change it is necessary to examine and interpret the existing cultural characteristics. In addition, according to Schein (1992) professional and personal development of employees is a crucial factor in developing culture.

Complexities in Measuring Effectiveness

We have seen that several scholars and managers in the field of organizational change have been divided when it comes to suggesting the most effective change approach (i.e. Dunphy & Stace, 1988; Senge, 1990; Kanter et al, 1992). As said before, Beer & Nohria (2000) claim that the tensions between the change approaches E and O determine how effective a change approach actually is. However, their theory does not supply in variables or instruments to actually measure effectiveness. Recent literature on the subject of change approach effectiveness suggests that satisfying definitions of effectiveness are practically non-existing (Boonstra, 2004) and that scholars and managers alike are indeed highly divided when it comes to actually measuring effectiveness. Kotter (1995) shares this point of view, stating that the extent to which a certain change approach is actually related to effectiveness is highly situational. Moreover, effectiveness of a change approach is dependant upon the perception of those involved. Thus, given that various actors can pursue various objectives makes any attempt to measuring effectiveness extremely complex and subjective. Unfortunately, change leaders, experts and managers alike often neglect those who are most affected by the change effort, thereby increasing the resistance to change and subsequently decreasing the effectiveness. In conclusion, actually measuring change approach effectiveness is practically impossible. Hence, the relation between the variations in change approach and effectiveness is made explicit by the display of the previously identified research variables.

Conceptual Model

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Figure 3: conceptual model

METHODS

The research was designed as a benchmark study. The reason for choosing a benchmark is because this study was aimed at comparing between findings at the police force Groningen with the findings at two benchmark forces. More specifically, the variables as identified in theory (the tensions in leadership, focus and planning of change) were studied. This information was used to identify distinct aspects of a change approach that can help increase effectiveness. Thus, research can be seen as both descriptive and explanatory by nature.

Data Collection

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ITEMS VARIABLES

PLANNING OF CHANGE Extent of formal, rational and pre-planned process improvements Programmatic Communication; reflection; knowledge-sharing

Emergent Initiatives; sensemaking; local experimentation and innovation

LEADERSHIP OF CHANGE

Top-down Pressure from the top; walking in the crowds; degrees of authority Participative Degrees of freedom; incentives; empowerment

FOCUS OF CHANGE

Structure & Systems Responsibility for quality and results; overview of process improvements

Culture Cultural characteristics; professional and personal development of operational employees Table 3: interview schedule

In most cases, participants were asked to choose between a number of answer options, after which an interrogative style of questioning followed. In other cases, interview questions were open-ended. One interview was performed by telephone; all others were conducted in a one-to-one setting. With three exceptions, all interviews were audio recorded; some participants did not wish to be recorded. Participant confidentiality has been guaranteed when asked for. The interviews were performed in a time frame of three months.

All twenty-seven participants (n=27) were recruited for active involvement in process improvements within the core process Maintenance & Surveillance. For each police force, nine participants were selected. The cross-selection consisted of strategic, tactical and operational employees: process managers and directors, chiefs of district, heads of departments, chiefs of unit, chiefs of team, two constables and two police force advisors were interviewed. For complementing interview data, two secondary data sources were consulted: police force inventories and audit reports. Both sources were chosen because they are based on the INK Excellence model. The police force inventories were consulted for relevant background information. The audit reports were mainly consulted for gathering information for selecting the two benchmark forces.

Data Analysis

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These quantitative measures were complemented by specific information from the open-ended questions, hereby generating a considerable amount of data. In some cases, this data has been grouped into themes, reduced to its component parts and displayed nominally after the interviews were conducted. Subsequently, for the police force Groningen and the two benchmark forces, both qualitative and quantitative data has been analyzed by looking for variations in the balances of planning, leadership and focus of change, placing them relative to each other and attempting to either positively or negatively relate their positions to change approach effectiveness.

RESULTS

Planning of Change

Formal, rational and pre-planned process improvements

Participants were asked to report on the extent to which process improvements can be seen and employed as formal, rational and pre-planned (table 4). Most participants of the police force Groningen seem to perceive their based toolbox (Beter Blauw) as bureaucratic. The PrinceII-based toolbox of NHN was also perceived as bureaucratic. Recently, this was the reason for simplifying the toolbox. Most participants of NHN point out that the current toolbox contributes to a simplification and de-bureaucratization of project plans. Similar developments have been reported by participants of IJsselland. Groningen IJsselland NHN Low extent 0 0 0 Average extent 0 0 0 High extent 8 6 7 Nonresponse 1 3 2

Table 4: formal, rational and pre-planned process improvements (n=27)

Communication

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Participants are asked to indicate if there is sufficient room and attention for giving feedback to inferiors, peers and superiors during process improvements (table 6). In Groningen, particularly operational executives report that giving feedback to superiors is very limited. The benchmark forces indicate similar happenings, but they also point out that reflection at individual level increased after operational employees were offered the course ‘Personal Craftsmanship’.

Groningen IJsselland NHN Sufficient room 2 3 1 Insufficient room 6 3 5 Nonresponse 1 3 3 Table 6: reflection (n=27) Knowledge-sharing

Participants are asked to indicate if there is sufficient room for knowledge-sharing during process improvements (table 7). Some participants of Groningen report that knowledge gets trapped at strategic level and other specific locations due to insufficient overlap between teams and departments; structures for gathering, organizing, sharing and analyzing knowledge are insufficient visible (due to matrix organization & intranet). Participants of NHN point out that the police force is planning the introduction of the Police Knowledge Net (PKN) approved ‘knowledge map’. This is a database wherein police officers report knowledge and experience on a personal level.

Groningen IJsselland NHN Sufficient room 2 7 6 Insufficient room 5 2 2 Nonresponse 2 0 1 Table 7: knowledge-sharing (n=27) Initiatives

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Groningen IJsselland NHN

Operational employees 2% 16% 12.5%

Line employees 47.5% 44% 40%

Staff employees 37.5% 22% 37.5%

Customers (citizens, chain partners, etc.)

12% 18% 10%

Nonresponse 0 0 0

Table 8: results of initiatives (n=27)

Sensemaking

Participants are asked to indicate the extent to which operational employees are aware of the surplus value that process improvements have for the organization and the quality of work (table 9). Participants of IJsselland say that the police force utilizes a 10th INK field named ‘management of team dynamics’. The executive board seems to believe that the quality of police work is primarily determined in the contact between teams and customers. Sensemaking is essential in this process; in a recent pilot all operational employees of a team experienced a two-day monastery session.

Sufficient awareness 1 4 2

Insufficiently awareness 8 4 5

Nonresponse 0 1 2

Table 9: sensemaking (n=27)

Local Experimentation and innovation

Participants are asked to point out if operational employees receive and claim sufficient room for local experimenting/innovating regarding process improvements (table 10). In Groningen, strategic executives report that operational employees do not claim sufficient room and operational employees claim to receive insufficient room. In IJsselland, to stimulate local experimentation and innovation, team chiefs are selected for entrepreneurial capabilities.

Sufficient room 2 7 4

Insufficient room 5 1 4

Nonresponse 2 1 1

Table 10: local experimentation and innovation (n=27)

Leadership of Change

Pressure from the Top

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In Groningen, some operational employees claim that the pressure negatively affects the quality of work and creativity; sometimes, it is even perceived as unhealthy.

Pressure drives process improvements 2 4 6 Pressure obstructs process improvements 6 5 2

Nonresponse 1 0 1

Table 11: pressure from the top (n=27)

Walking in the Crowds

Participants are asked to point out to what extent strategic executives are approachable, visible and present amongst operational employees (table 12). In Groningen some operational employees say not to know the process manager. In general, operational employees seem to be critical to the extent to which strategic executives walk in the crowds. Some operational employees report they feel that the distance between them and strategic executives is too big. In contrast, at IJsselland the chief constable seems to be visible at team level at least twice yearly. And in NHN, the chief constable even attends regular shifts once or twice every month. Furthermore, the chief constable of NHN has a monthly blog on the intranet and also other strategic executives seem to be highly approachable via email and in forums on intranet, according to most participants.

Low extent 4 2 1

Average extent 4 4 5

High extent 1 3 3

Nonresponse 0 0 0

Table 12: walking in the crowds (n=27)

Degrees of Authority

Participants are asked to indicate to what extent operational, tactical and strategic executives use authority in decision making processes regarding process improvements (table 13). All participants say that this is highly dependent upon the nature of the process improvement. Participants of Groningen report that in general, executives present ideas and invite questions. Participants of the benchmark forces point out that executives present ideas, gets suggestions and makes decisions.

Low extent 0 5 3

High extent 6 2 1

Nonresponse 1 0 0

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Degrees of Freedom

Participants are asked to indicate to what extent operational employees have degrees of freedom in decision making processes regarding process improvements (table 14). At Groningen, a large number of participants say that they experience a low extent of freedom. In contrast, participants of IJsselland report higher degrees of freedom, and that the structure of quality circles and change teams positively contributes to this. Furthermore, executives of IJsselland seem to increasingly stimulate participation of operational employees, especially community police officers.

Low extent 6 1 5

High extent 0 5 2

Nonresponse 0 0 0

Table 14: degrees of freedom (n=27)

Incentives

Participants are asked to report if and how initiatives for process improvements are sufficiently rewarded by operational, tactical and strategic executives (table 15). Most participants of the police forces report that the program ‘Deliberate Rewarding’ has positive effects. Some participants of NHN report that especially operational and tactical executives seem to give frequent rewards by i.e. shoulder patting and public rewarding during briefings.

Groningen IJsselland NHN Sufficient rewarding 4 5 7 Insufficient rewarding 5 4 2 Nonresponse 0 0 0 Table 15: incentives (n=27) Empowerment

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Similar to Groningen, participants of NHN report that the operational employee is expected to introduce his idea to an operational executive (chief of team) and that this is where employee involvement seems to stop. Next, the chief of team introduces the idea to the chief of department where a second assessment takes place. In turn, the tactical executive introduces the idea at a strategic executive (process manager) who, after a successful assessment, introduces the idea region wide by means of a project. The fastest way to introduce an idea is via direct lines into the organization (i.e. the domain advisor).

In contrast to the previous two forces, participants of IJsselland say that the operational employee is expected to introduce his idea to an operational executive (chief of team) and that he or she then facilitates the process and stimulates the operational employee to work out his or her idea at team level. The idea is introduced and tested locally and if considered successful it is assessed in the quality circles. After a successful assessment a change team is formed to start a region wide introduction. The fastest way to introduce an idea is directly via the quality circles.

Focus of Change

Responsibility for Quality and Results

Participants are asked to indicate if and how the structure of formal responsibilities for operational results and quality contributes to effective process improvements. Furthermore, participants are asked why they think their executive boards utilize this particular structure. At all three police forces, participants report that the greatest downside of the dual-authority structure (see chapter 2) is time-related; the role of chief of district is a full time job, resulting in a situation where the role of process manager suffers from lack of time. In Groningen, some participants say that this has led to a situation where process improvements appear to be no more than a side-job, regardless of the dedication of a fulltime assistant. Some participants point out that the choice for maintaining the current structure is based on the idea of keeping a manageable span-of-control; alternative options almost always comprehend more operational employees in the decision-making processes. Others feel that the choice for maintaining the function of chief of district relates to a combination of the incapability for delegating responsibilities and the fear of letting go.

At both IJsselland and NHN, most participants point out that they feel the transformation towards a more process-oriented structure (the two-layer structure) will be (for IJsselland) or has been (for NHN) significant improvements. Most participants say that the motives for this transformation are/were primarily related to cutting expenses by dissolving the district layer, but other motives have been:

- increased focus on process improvements and the quality of police work;

- contribution to the manageability of the entire police force; a significantly simplified hierarchy;

- shorter communication lines by reducing a number of line- and process intersections;

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- increased focus of community policing (GGPZ);

- strengthened contact with and between teams and society;

- equivocally in processes can be realized region-wide;

- better adaptation to future developments regarding the National Police. Overview of Process Improvements

Participants are asked to point out if and how the structure for maintaining overview of process improvements gives a sufficient overview (table 16). Participants of Groningen report they utilize a project dashboard, but they say that its effect is doubted. Participants at the benchmark forces report similar situations. To increase the overview, the police force IJsselland recently utilized a strong project organization to support ‘program management’; two fulltime project professionals are dedicated to creating a helicopter view and linking initiatives regarding process improvements, rationally dedicating and monitoring resources and ultimately, gathering management information for setting priorities. In a similar vein (earlier in 2003) NHN utilized a temporarily ‘program bureau’ which has assisted in implementing many process improvements rapidly and effectively. NHN is currently developing a ‘portfolio of process improvements’ aimed at increasing the overview.

Sufficient overview 2 3 2

Insufficient overview 7 6 7

Nonresponse 0 0 0

Table 16: overview of process improvements (n=27)

Cultural Characteristics

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which only a few actually succeed. Some participants report low levels of cross-pollination; due to the relatively low mobility typical to the region there is a significant number of employees that have had the same routine for years.

First aspect Closed, not transparent and hierarchical (6)

Open, transparent and anti-hierarchical (3)

Open, transparent and anti-hierarchical (5)

Second aspect Loyal to organization (4) Creative and innovative (3) Entrepreneurial mindset (3) Third aspect Low level of change willingness (3) High level of change

willingness (3)

High level of change willingness (3)

Table 17: cultural characteristics (n=27)

Professional and Personal Development of Operational Employees

Participants are asked to indicate if operational employees are sufficiently facilitated to develop themselves personally and professionally (table 18). In contrast to Groningen, participants of the benchmark say that the forces seem to experiment with providing community police officers with the obligatory course Personal Craftsmanship. Some participants indicate that this course helped them in various ways.

Sufficient facilities 4 5 5

Insufficient facilities 4 4 3

Nonresponse 1 0 1

Table 18: professional and personal development of operational employees (n=27)

DISCUSSION

The previous chapters have outlined what this study intended to discover (Theoretical Framework), how this ought to be discovered (Methodology) and finally, what findings it produced (the previous chapter, Results). In this section of the study the results will be interpreted and discussed for the purpose of drawing conclusions and answering the three investigative questions. Furthermore, issues of study limitations, future research and theoretical and practical implications are discussed.

Discussing Planning of Change

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when it comes to communication; it seems that there are more events and vehicles. This might partially explain the relative success of the benchmark forces.

Concerning the second variable, it seems that the benchmark forces perceive more room for reflection during process improvements (table 6). For Groningen, this is not entirely surprisingly, since the audit commission concluded that chosen solutions for improving processes are not questioned during evaluations and that evaluations focus on compliance rather than on effectiveness.

Moreover, the extent of knowledge-sharing (table 7) seems to be lower compared to both benchmark forces. The knowledge-trap that participants of Groningen speak of can be interpreted in the lights of Robbins’s (1986) theory on knowledge-power. According to Robbins, knowledge power is when individuals or groups employ a selective and biased use of information, often under the guise of reason. This does not suggest that knowledge-power has a negative effect on creating willingness to change in process improvements, au contraire; it is shown that proper use of knowledge-power is actually effective in gaining willing compliance and cooperation from those at whom it is directed (Huczynski & Buchanan, 2001). Statements to what extent this is actually the case in Groningen (and to what extent this influences change approach effectiveness) cannot be made explicit in this study.

The last decades witnessed growing interests in initiating bottom-up changes with the support of top management (Christensen & Overdorf, 2000). In contrast to Groningen, this seems to be the case at the benchmark forces (table 8). The relatively higher number of initiatives at the benchmark forces might have relations with the way initiatives are managed. The number of initiatives, and in fact, the effectiveness of any initiative is argued to be a reflection of its top management (Hambrick & Mason, 1994). To what extent this actually holds truth for the benchmark forces can hardly be judged.

Compared to Groningen, a larger number of participants perceive sufficient awareness amongst operational employees of the surplus value of process improvements (sensemaking, table 9). The variations in scores can be partially explained by the relative importance that i.e. IJsselland seem to subscribe to the issue, a successful monastery session being the ultimate example. Wegeman (quoted in Schitterend Organiseren, 2006) argues that an organization is nothing more than a group of individuals that decided to be that organization and that these individuals, their emotions and their struggle for existence can be seen as one of the key factors in successful change efforts. Senge (1991) argues that the worst kept secret in management is that most of the real work gets done by teams and not by lone individuals in the splendid isolation of corner offices. IJsselland seems to have united Wegeman’s and Senge’s ideas by introducing the 10th INK field ‘Management of Team Dynamics’.

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Conclusions on Planning of Change

- Changes at the benchmark forces also appear to have a strong blue-print character;

- process improvements by means of projects seem to be perceived as less bureaucratic at the benchmark forces;

- strategic and tactical executives of the benchmark forces seem to maintain a different approach towards communicating about process improvements;

- it appears that valuable knowledge concerning process improvements gets trapped at strategic level. The cause seems to be an insufficient overlap between teams and departments;

- initiatives for process improvements seem to be more frequently initiated by operational employees at the benchmark forces;

- top-down process improvements in Groningen seem to suffer from a relatively low readiness for change amongst operational executives;

- activities regarding sensemaking and the development of community teams appear to be more prominent at the benchmark forces;

- experimenting and innovating regarding process improvements seems to be more frequent at the benchmark forces.

Answering the First Research Question

Recall that IQ1 intended to answer what the variations in the balances in planning of change are and how can they be related to change approach effectiveness. The variations in the balances of planning are remarkable. Relatively seen, the benchmark forces seem to be more effective in filling in preconditions for both planned (theory E) and emergent (theory O) change. IJsselland seems to excel in both planned change and emergent change. In terms of De Caluwé & Vermaak, both benchmark forces have considerable more elements of green-print thinking. In green-print thinking, the idea of change and learning have very similar meanings; it is almost synonym to the ‘learning organization’ (Senge, 1991). Moreover, green-print thinking matches with one of the vanguards in the vision of Gronings Goud: learning & innovating. Therefore, it is hypothesized that Groningen can increase change approach effectiveness by putting emphasis on further developing the variables of planned change, but the greatest gains are in developing the variables of emergent change.

Discussing Leadership of Change

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when that pressure is selectively and astutely orchestrated and linked in a coherent and sensitive fashion to the world of employees. This might partially explain the higher scores of the benchmark forces.

Another variation seems to exist between Groningen and the benchmark forces regarding walking in the crowds (table 12); strategic executives of the benchmark forces seem to communicate more personally and use more modern technologies to reach (operational) employees.

The results from the degrees of authority and degrees of freedom (tables 13 and 14) are practically inseparable. In terms of Tannenbaum & Schmidt (1973) it seems that strategic executives in Groningen tend to present ideas and invite questions. Typical in this approach is that executives who arrived at a decision seek acceptance of ideas and provide operational employees with opportunities to put forward questions in order to get a fuller explanation (i.e. breakfast sessions). This "give and take" enables both executives and operational employees to explore the implications of the decision. The results at the benchmark forces seem to entail less degrees of authority and more degrees of freedom; participants report that strategic executives generally present ideas, get suggestions and then make the decision. In this approach, it is typical that operational employees get the first chance to suggest solutions. The strategic executives’ initial role involves identifying the problem. He might, for example, say something of this sort: "We are faced with an increasing number of complaints concerning noise nuisance in region X. What is wrong here? What ideas do you have for coming to grips with this problem?” According to participants from IJsselland for example, these degrees of freedom and authority are typical for the structure of quality circles and expert groups.

Since the police forces maintain a national fixed compensation system, financial incentives cannot drive process improvements. Non-financial incentives however, can. Researchers have discovered emotions and motivation as important effects and causes of behavior in organizations (George & Brief, 1996) and that they are closely attached with non-financial incentives (Lawler, 2000). Concerning non-financial incentives, table 15 shows that NHN has a relatively higher score. This seems to be partially explained by the role that operational and tactical executives play.

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Conclusions on Leadership of Change

- Pressure from the top regarding process improvements seems to be similar at all three police forces;

- operational employees at the benchmark forces appear to be more open and susceptible to pressure from the top;

- strategic executives in Groningen seem to be to a lesser extent approachable, visible and present compared to strategic executives at the benchmark forces;

- the influence of operational employees in decision-making processes regarding process improvements appears to be greater at the benchmark forces;

- empowering operational employees in initiating and implementing process improvements seems to be more common at the benchmark forces.

Answering the Second Investigative Question

Recall that IQ2 intended to answer what the variations in the balances in leadership of change are and how can they be related to change approach effectiveness. Similar to the leadership balance, the relative variations in the balance of leadership can be called remarkable. The benchmark forces seem to be more effective in filling in preconditions for both top-down (theory E) and participative (theory O) leadership in change. Noord-Holland Noord seems to excel in top-down leadership, and IJsselland seems to excel in participative leadership. Speaking in terms of De Caluwé & Vermaak (2006), the leadership style of (strategic) executives at Groningen seems to have more elements of yellow-print thinking, where it is assumed that process improvements can only succeed if the powers that be are committed to backing it up. In contrast, it seems that the balances of the benchmark forces have considerable more elements of red-print thinking. In red-print thinking, it is assumed that people and organizations will embrace change when it is made attractive to them. In this way of thinking, leaders actively stimulate and inspire people. Again, this fits into one of the vanguards in the vision of Gronings Goud: coaching leadership. It seems likely that Groningen can increase change approach effectiveness by putting emphasis on further developing the variables of both top-down and participative leadership, the centre of gravity being clearly on the last.

Discussing Focus of Change

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Table 16 shows little variation in the extent to which the police forces are able to maintain a structure or system that provides a sufficient overview of process improvements. However, both benchmark forces seem to be actively utilizing or developing systems (a project bureau for IJsselland and program bureau for NHN) similar to what literature calls ‘project portfolio management’. Pinto (2007) defines project portfolio management as the systematic process of selecting, supporting and managing an organization’s collection of projects. To what extent the program bureaus at the benchmark forces actually contributes to change approach effectiveness cannot be judged.

Concerning aspects of organizational culture, table 17 provides sharp contrasts between Groningen and the benchmark forces. Where participants of Groningen seem to perceive their culture as closed, not transparent and hierarchical, the benchmark forces seem to perceive the opposite. The other aspects seem to confirm this line of thought; participants of the benchmark forces report a high level of willingness to change where participants of Groningen report the opposite. Whether or not this image is representative for the entire police force is almost impossible to say; culture is hard to measure and ever harder to interpret. However, it seems that these cultural aspects deserve attention nonetheless, since i.e. Lievers & Lubberding (1996) experienced that a lack of willingness to change is often an issue in not-for-profit organizations like the police. Moreover, Ajzen (1991) reports that willingness to change is one of the most important factors in determining change effectiveness.

Finally, there seems to be no great variation in the extent to which operational employees are facilitated in professional and personal development (table 18). However, the benchmark forces do seem to offer community police officers the course Personal Craftsmanship. Attendants of the course report that this course was very valuable; it seemed to enhance sensemaking and it helped them to communicate more effectively with executives, chain partners, team members and citizens. But to what extent this influenced change approach effectiveness remains unclear.

Conclusions of Focus of Change

- The benchmark forces appear to have taken more concrete actions in moving towards a process-oriented organization (i.e. stronger focus on the responsibility for quality, dissolving the district layer;

- process managers at the benchmark forces seem to have stronger focus on process quality; - creating a sufficient overview of process improvements appears to be a challenging task for all

three police forces;

- the benchmark forces seem to put a stronger focus on projects by i.e. utilizing a project bureau and fulltime staffing project professionals;

- the culture of the benchmark forces appears to be more open, transparent and anti-hierarchical and levels of willingness to change seem to be relatively higher;

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Answering the Third Investigative Question

Recall that IQ3 intended to answer what the variations in the balances in focus of change are and how can they be related to change approach effectiveness. Some remarkable variations have been found in the focus of change. The benchmark forces seem to be more effective in filling in preconditions for theory E and theory O in focus of change by having made more extensive structural steps towards a process-oriented organization, and seemingly being able to put more emphasis on addressing culture during process improvements. Both benchmark forces seem to excel in the focus on structure & systems, and IJsselland seems to excel in the focus on culture. In terms of De Caluwé & Vermaak it seems that the balances of the benchmark forces have considerable more elements of green-print thinking. By utilizing a focus based on green-print elements, the police force can make a match between another vanguard in the vision of Gronings Goud: the professional employee. Thus, it appears to be a feasible thought that Groningen can increase change approach effectiveness by putting emphasis on further developing the variables of focus on both structure & systems and culture.

General Conclusions

The developments at the benchmark forces proved to be a source of inspiration. In recapitulation of the above, it appears that the benchmark forces fill in theory E oriented aspects of change approaches quite differently. Moreover, in spite of the many, recently deployed efforts of the police force Groningen (i.e. the developments regarding Beter Blauw), it seems that the benchmark forces have relatively more focus on theory O oriented aspects of change approaches. This seems to be no coincidence; in previous years, the benchmark forces have made conscious and deliberate choices for investing in a more emergent planning, a more participative leadership style and a stronger focus on organizational culture. These developments seem to have created a climate wherein even top-down process improvements can actually succeed. Thus, for the police force Groningen the key to increasing change approach effectiveness appears to be in further developing both theory E and O aspects, the centre of gravity being on the last.

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Limitations and Future Research

Potentially the greatest limitation of this study is that the variables under research could not be linked to change approach effectiveness. This issue has been discussed earlier in this chapter. Another limitation concerns the choice of research variables; as with many studies, the validity is likely to be affected by extraneous variables; unforeseen variables influencing change approach effectiveness. The choice of research variables in this study could only partially intercept this issue of validity. Furthermore, as mentioned in the results chapter, in some cases the results were grouped into themes after the interviews, being he other way around. In that sense, the objectives of this research might have been a bridge too far. A third limitation concerns the fact that the interviews contained relatively complex concepts about the phenomena under research, which might not be fully understood by all participants. To reach concept consensus, all participants received detailed information prior to the interviews, and each interview started with an extensive dialogue about the concepts. The last potential limitation concerns the fact that perceptions of the participants of the police force Groningen seemed to be more pessimistic than those of the benchmark forces. This image seems to represents the socially constructed reality of participants; it might be that realities have been interpreted different amongst participants. This can be partially explained by the role of the researcher; in the eyes of the benchmark forces he was considered a representative of the police force Groningen, but in Groningen he was merely a representative of the University of Groningen. In an effort to counter this effect all participants were informed about the pitfalls of this phenomenon.

Concerning future research, it seems evident that the true relationship between change approaches and effectiveness is still not well understood, and ample research is yet to be performed. Although Beer & Nohria’s (2000) theories have been very useful in analyzing change approaches at the three police forces, it did not provide for tools to actually measure an organization’s position on the balance between theory E and O. But still, the tensions in Beer & Nohria’s theory E and O can certainly be used as a starting point for a further development of instruments of measure since they do seem to affect effectiveness directly. Such a tool would help many organizations to further develop itself. Therefore, developing a more accurate measuring tool based on planning, leadership and focus of change (separately or holistically) is considered as a potentially fruitful new line of research.

Theoretical and Practical Implications

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RECOMMENDATIONS

Alas, it is a comforting thought that the majority of challenges that the police force Groningen face do not deviate from those at other police forces or many (profit) organizations. Although one might say the organization does seem to be a little late with some of the insights, it must be concluded that it is never too late to turn the tide. The recommendations in fivesome can be seen as a starting point in the journey towards Gronings Goud. All recommendations interface to a lesser or greater extent with the field of attention as reported by the audit commission (see the Management Problem paragraph). They answer the research question of how variations in change approaches between the police force Groningen and two highly effective police forces can be used to increase change approach effectiveness. It is advisable to see the recommendations in a holistic fashion; careful synchronization and planning is needed for optimal effect.

1. Moving towards a Process-oriented Organization

The executive board could contemplate on the future strategic direction concerning the process-oriented organization. Judging the developments at prominent police forces, the road towards a process-oriented organization seems the right way to go. Action points:

- to shape the process-oriented organization, the executive board could, in time, consider dissolving the district layer by increasingly delegating responsibility for results to staff members further down the line (i.e. the chiefs of unit and/or chiefs of team);

- for increasing the focus on quality of processes, it could be considered giving process managers more time for their responsibilities for quality;

- increasing the capacity of the process manager assistant could be considered for intensifying the support of process managers;

- for strengthening connections between line and staff, the process manager assistant could increasingly use so-called ‘informal leaders’ in teams.

2. Increasing Responsibility and Independency of Teams

The increasing importance of Community Policing and the advice to move towards a process-oriented organization are demanding on operational employees and operational/tactical executives; different and more responsibilities, other ways of cooperation and working. The quality of future police work seems to be more and more determined in teams, thus it is in their teams that the executive board should invest in. Action points: