MG345_Lead from Middle.pptLeading from the Middle Exe.docx

MG345_Lead from Middle.ppt
Leading from the Middle: Exerting Influence Sideways &
Upward
MG345 Organizations & Environment
Tony Buono
Fall 2104
Unfreezing
Changing
Refreezing
Planned
Change
Guided
Changing
Freezing
Rebalancing/
Translating
Unfreezing/
Improvising

Directed
Change
Present
State
Desired
State
Conceptualizing Change Processes
Low
Low
High
High
Business Complexity
Socio-Technical
Uncertainty
Authority
Acceptance
Persuasive Communication
A Question of Rhythm?

Leadership Styles
TASK FOCUS
PEOPLE FOCUS
LEARNING FOCUS
ORGANIZATIONAL EMPHASIS
INDIVIDUAL EMPHASIS
Commanding (Coercive)
Pacesetter
Visionary
(Authoritative)
Affiliative
Democratic
Coaching
Across Styles
Managers as Linking Pins

Middle Management …
“… story of gradual disempowerment in which reasonably
healthy, confident and competent people become transformed
into anxious, tense, ineffective and self-doubting wrecks.”
Barry Oshry, “Converting Middle Powerlessness to Middle
Power,” National Productivity Review
Intervening in the MiddleConceptualizing and Understanding
One’s Sphere of InfluenceControllables v.
UncontrollablesControlled (Contained) EmpowermentLooking
for Opportunities in AmbiguityPursuing “Small Wins”
Source: A.F. Buono & A.J. Nurick, “Intervening in the Middle:
Coping Strategies in Mergers and
Acquisitions,” Human Resource Planning, 1992, vol.
15, no. 2.
Lewin’s Force-Field Analysis
Status Quo

Change Drivers
Change Resisters
2-
C
H
A
N
G
I
N
G
1-UNFREEZING
3-REFREEZING
KEY:
Own versus
Induced Forces
Dealing with
ResistanceApproachUseAdvantagesDisadvantagesEducation +
CommunicationLack of or inaccurate infoHelps to inform and
persuadeTime consuming, especially if many people are
involvedParticipation + InvolvementInitiators do not have all
info; others have considerable power to resistParticipation leads
to commitment; recipient info integrated into change planTime
consuming; participators can design inappropriate
changeFacilitation + SupportResistance due to adjustment
problemsBest way to cope with adjustment issuesCan be time
consuming; can still failNegotiationSomeone/group loses out
and has power to resistRelatively easy was to avoid

problemsCan be expensiveManipulationOther tactics don’t’
workQuick, inexpensiveShort-term utility, can lead to future
problemsExplicit + Implicit CoercionSpeed; you have
powerSimple, straightforwardShort-term benefits, can be risky;
retribution
“Managing” Your Boss
Understand your boss
s
Understand yourself
boss?
Act on that understanding
ble working relationship that deals
with style differences

commitment)
isely (testing
boundaries & parameters; integrating with others)
MG345_Leadership_F2014.ppt
Leadership
&
Emotional Intelligence:
The Power of Authenticity
MG345 Organizations & Environment
Tony Buono
Fall 2014
Self-Awareness
(Intra-personal)
Self-Management
Personal Competence:
How we manage ourselves
Social Competence:
How we handle relationships
Social
Awareness

Relationship
Management
Adapted from D. Goleman, R. Boyatzis and A. McKee, Primal
Leadership: Realizing the Power of
Emotional Intelligence. Cambridge, MA: Harvard Business
School Press, 2002, p. 39.
Leadership & EQ
Self-Awareness
Emotional Awareness
Accurate Self-assessment
Self-Confidence
Self-Regulation
Self-control
Trustworthiness
Conscientiousness
Adaptability
Innovation
Motivation
Achievement drive
Commitment
Initiative
Optimism
PERSONAL
COMPETENCE
EMPATHY
Understanding others
Developing others
Service orientation

Leveraging diversity
Political awareness
Social Skills
Influence
Communication
Conflict management
Leadership
Change Catalyst
Building bonds
Collaboration
Teamwork capabilities
SOCIAL COMPETENCE
EQ
Goleman Model
Leadership Styles
TASK FOCUS
PEOPLE FOCUS
LEARNING FOCUS
ORGANIZATIONAL EMPHASIS
INDIVIDUAL EMPHASIS
Commanding (Coercive)
Pacesetter
Visionary
(Authoritative)
Affiliative
Democratic
Coaching
Across Styles

Leadership & EQCommanding (Coercive) leaders demand
immediate compliance.Visionary (Authoritative) leaders
mobilize people toward a vision.Affiliative leaders create
emotional bonds and harmony.Democratic leaders build
consensus through participation.Pacesetting leaders expect
excellence and self-direction.Coaching leaders develop people
for the future.
Leadership & Self-Directed Learning
My ideal self:
Who do I want to be?
My real self:
Who am I?
My learning agenda:
How can I build on
my strengths &
reduce my gaps?
Experimenting:
What new behaviors,
thoughts & feelings
do I need to test &
practice?
1
2
4
My strengths: My gaps:
Where do my ideal Where do my ideal
& real self overlap? & real self differ?

3
Adapted from: D. Goleman, R. Boyatzis & A. McKee, Primal
Leadership (HBS, 2002).
Relationships:
What trusting
relationships do I
need to develop to
support this process?
MG345-Change.ppt
IMPLEMENTING ORGANIZATIONAL CHANGE:
Understanding the
Dynamics of Change
MG345 Organization & Environment
Fall 2014
Tony Buono
Realities of Change
Technical Political

Socio-cultural
The Art of
The Art of Persuasion
Diagnosis
& Execution
The Art of
Motivation
Financial
(Filter)
The Art of
Reality
*
KEY CHANGEMAKERS
Focus on Means-Ends Personal Impact
Congruence: (Costs & Benefits)
Focus on Ends: Corporate Values & Business

Results
Focus on Means: Overcoming Resistance
& Encouraging Practice
*
Directed ChangeDriven from the top of the organizationRelies
on authority and complianceFocuses on coping with emotional
reactionsPlanned ChangeSupported from the top of the
organizationSeeks to create involvement and
commitmentFocuses on factors that increase the chances
of successful changeGuided ChangingEmerges from within
the organizationResults from commitment and
involvementFocuses on enhancing the effect of changes already
underway
Basic Approaches to Change
Industrial Age
Information Age
Unfreezing
Changing
Refreezing
Planned
Change

Guided
Changing
Freezing
Rebalancing/
Translating
Unfreezing/
Improvising
Directed
Change
Present
State
Desired
State
Authority
Acceptance
Clarity
Trustworthiness
Reliability
So that …

Directed Change
Unfreezing
Changing
Refreezing
Planned
Change
Guided
Changing
Freezing
Rebalancing/
Translating
Unfreezing/
Improvising
Directed
Change
Present
State
Desired
State

Managing Planned Change
UnfreezingConfirming/Disconfirming ExpectationsCoping with
motivation)
Changing/TransitionRestructuring & Redefining Jobs &
Responsibilities/Introducing New Systems Changing
Expectations (induced v. own)Creating New Standards
RefreezingCreating a Supportive Infrastructure: Social
(Informal) & Organizational (Formal)
So
that …
Identify the
Change
Organize
the Project
Involve &
Influence the
Stakeholders
Implement,
Monitor & Sustain
the Change
Planned Change
Road Map

*
Identify the ChangeDissatisfaction with status quoVision for
changeProcess for changeCost of change
Organize the ProjectProject plan (scope, schedule, & resources)
Influence the StakeholdersSponsorshipGuiding coalitionSkilled
change agentsCultural rules
Implement, Monitor, & Sustain the
ChangeCommunicationEducation & trainingRewards &
recognitionShort term wins
Unfreezing
Changing
Refreezing
Planned
Change
Guided
Changing
Freezing

Rebalancing/
Translating
Unfreezing/
Improvising
Directed
Change
Present
State
Desired
State
FreezingMaking Sequences Visible through Cross-unit Sharing
and Envisioning (Cultural Maps)
Translating/ReinterpretingRe-framing & Re-sequencing Patterns
to Reduce Blocks (Personal & Organizational)Applying the
Logic of Attraction (Pull) rather than the Logic of Replacement
(Push)
Unfreezing/ImprovisingGuiding Improvisation & Learning in
Mindful WaysSharing the Learning System-wide
Guided Changing
SHARE THE
LEARNING
SYSTEM-WIDE
IMPLEMENT

& IMPROVISE
HOLD ACCOUNTABLE
& LEARN
INTERPRET & DESIGN
Guided Changing Spiral
Using the Logic of Attraction:
Appreciative Inquiry & Peak Experiences
Discover
Dream
Design
Destiny
What ideal image(s)
of the future do
we want?
What steps will
move us toward
our best potential?
How do we
foster commitment,
impact & momentum?
What’s best in
our history?

Discover
Guiding Culture Change &
Appreciative Inquiry
Dream
Design
Destiny
Creating a Framework for
Thinking about Organizational
Change
40.bin
Key Factors
Business Complexity:
geographical dispersion, the number of products and services,
array of critical stakeholders, and so forth.
Socio-technical Uncertainty:
-
making required for the change, based on the extent to which
the task(s) involved is determined, established, or exactly
known.

Re-conceptualizing
Change Management
Low
Low
High
High
Business Complexity
Directed
Socio-Technical
Uncertainty
Planned
Guided
Change Capacity:
implementers, change leaders/strategists)
ommunication technology,
flexible systems & processes, responsive training)
Urgency:
or organizational survival
Intervening Factors
Low

Low
High
High
Directed
Planned
Guided
Socio-technical Uncertainty
Willingness & Ability
Time
Business Complexity
Intervening Factors
Change Capacity
Urgency
Reframing Change:
Leadership Challenges
Barriers to Change
Loss of clarity & stability, confusion chaos
Anxiety, uncertainty, feelings of incompetence, neediness
Disempowerment, conflict between winners & losers
Loss of meaning & purpose, clinging to the past
Essential Strategies
Communicating, realigning formal patterns & policies

Participation & involvement, training to develop new skills,
psychological support
Creating arenas where issues can be negotiated & new
coalitions formed
Creating transition rituals: mourning the past, celebrating the
future
Human
Resource
Structural
Political
Cultural/
Symbolic
Low
Low
High
High
Business Complexity
Socio-Technical
Uncertainty
Authority
Acceptance
A Question of Rhythm?

MG345-Leading Recovery-F14.ppt
Leading Workplace Recovery:
Reflections on Leadership
Tony Buono
Fall 2014
MG345 Organization & Environment
BENTLEY

Medium-sized Investment Banking firm, focused on serving
Financial Services Cos.Founded in 1988, firm generated over
$100 million in revenues in 20003 Managing partners:Herman
Sandler, Senior Managing PartnerChristopher Quackenbush,
Head of Investment BankingJames (“Jimmy”) Dunne, Head of
Client Relations171 employees, specializing in:
sions
ManagementCompany Culture: Family-oriented firm in a cut-
throat industry
Sandler O’Neill: Background
Herman
Sandler
Chris
Quackenbush
Jimmy Dunne
Sandler O’Neill: Background You are Jimmy Dunne
104th Floor, Two World Trade Center
-years old, background as a Wall Street trader
-ups within the firm
were infamous:
Dunne screaming at a SO trader: “The next time you
do something smart, monkeys’ll fly out of my ass!”

withdrawing from the firm:
e.”
9/11/2001
9/11 Aftermath - SO83 employees on site: only 17
survived66 killed out of 171 employees 2 died laterEntire
bond department totally devastated: all traders were killed All
records, information and systems destroyed in the
attackMorning of 9/11: You (Jimmy Dunne) were playing golf
at Westchester Country Club, trying to qualify for an upcoming
tournament9/17 (Monday morning when Stock Market re-
opened) CNBC report: Sandler O’Neill was going out of
business
Starting Over
What are the challenges facing Jimmy Dunne III and Sandler
O’Neill in the wake of the 9/11 catastrophe?
Key Challenges Build new systems
from scratch
(back office) Need for new
office space Rebuild IT &
communication
systems Loss of
expertise Loss of friends
& colleagues Survivor guilt Care for families
of the deceased Loss of

institutional
memory Hiring &
socializing new
hires Balancing
personal support
w/business needs
Loss of
authority/
leadership Dunne’s
autocratic/
hard-driving
style (“bad
cop) Image
management
(external
relations) Reaching out
to competitors
Dealing with
company “ghosts”
(memories) “Letting go” of
the dead in a
family-oriented
culture
Human
Cultural/
Structural Resource Political Symbolic
Personal:
• Guilt: Playing golf
in Westchester Loss of mentor/
friend(s)
• Need for personal
transformation

Starting Over
As Dunne, what would you do to rebuild the
company? How would you address the members
of your firm?
In memory of those we lost on September 11th, Sandler O'Neill
remains committed to a tradition of excellence, of being the best
in serving our clients - a tradition that our departed partners,
colleagues and friends would expect.
FAMILY SUPPORT
Contact:
The Sandler O’Neill Assistance Foundation

P.O. Box 886
Chatham, NJ 07928
Mission Statement
Friends of Sandler O’Neill & Partners have established The
Sandler O’Neill Assistance Foundation to provide financial and
other assistance to the families of the victims of the September
11, 2001 tragedy. The grant making process will be based on
financial need and preference will be given to the dependents of
the Sandler O’Neill employees who lost their lives at the World
Trade Center. While the Foundation will consider all requests
for financial assistance, it has chosen post secondary education
for the dependents of the Sandler O’Neill victims as its main
priority.

Sandler O’Neill
& Partners, L.P.
A Culture of Results
SO
&P
© 2004 Sandler O’Neill Partners, L.P.
All rights reserved
2006Financials Strategy
by Robert B. Albertson, Principal & Chief Strategist
The China Factor
China’s short term outlook has captured the stage. We visited 4
cities in China and had 22 meetings with banks, insurance
companies, regulators, exchange officials, accounting firms and
investment firms. This report summarizes our findings,
including our increased optimisim for problem resolution, as
well as
Starting Over

of your firm?
3. How should a company deal with the families of its
employee victims? Financially? Emotionally? Is there an
appropriate time to cut its ties with these families?
Reflections on a Tragedy
http://www.youtube.com/watch?v=QpCzszOnYwI&feature=yout
ube_gdata_player
Starting Over
of your firm?
3. How should a company deal with the families of its
employee victims? Financially? Emotionally? Is there an
appropriate time to cut its ties with these families?
4. What broader lessons are embedded in this
tragedy? What does this case suggest about
leadership and crisis management? Are we entering an
era of “permanent” crisis?
Keys to Workplace Recovery
Weakening Strengthening
the Old the New

KEY TASKS
KEY
LEVELS
Emotional
Realities
(Human Resource/
Cultural/Symbolic
Frames)
Business
Imperatives
(Structural/Political
Frames)
Empathy
Energy
Engagement
Enforcement
Adapted from Marks (2003)
Empathy
Overriding Let people know leadership
Objective: acknowledges that it has been difficult, currently
is difficult, and will continue to be difficult for a while
Key Tasks: Acknowledge realities and
difficulties of transition and recovery
Offer workshops/counseling to raise awareness of the
transition process and help employees understand where they do
and do not have control
Use symbols and ceremonies to end the old

Engagement
Overriding Create understanding of and
Objective: support for the need to end the old and accept
the new organizational order
Key Tasks: Help people get their work done
Communicate and provide opportunities for involvement
Diagnose and eliminate barriers to adaptation
Energy
Overriding As much as possible, get people
Objective: excited about the rebuilding process, supporting
them as necessary to realize it
Key Tasks: Clarification of the new vision
Create a learning and teaching environment that motivates
people to experiment
Create opportunities for short-term wins
Connect with people and provide support
Accept confusion and backsliding; give people time to
move on through adaptation
Enforcement

Overriding Solidify new mental models that
Objective: are congruent with the new organizational order
Key Tasks: Align systems and operating standards
Involve people in bringing the vision to life
Track the development of the new organization
Crisis CommunicationBe visible and be heard ~ during periods
of upheaval employees want to know that top management
views their distress as a key concern.Choose your
communications channels carefully ~ but think of the media as
an ally rather than an adversary.Decentralize operations but
keep decisions centralized ~ you need to provide guidance.
Balance internal and external communication efforts ~ but start
inside, the morale of the workforce must be rebuilt.
Don’t assume that …you know what people are thinking.people
hear you the first time.business as usual will, once again,
become the norm.you can predict every contingency.
Do assume that …people are afraid to confront you.you have to
repeat yourself and check for understanding.you need to balance
the emotional realities of the workplace with the business
imperatives of the company.you need to improvise as needed –
within the context of a strong value foundation.
Cautions for Leading Recovery
The Ethical LeaderArticulate and embody the purpose and

values of the organization.Focus on organizational success
rather than personal egoFind the best people and develop
themCreate a living conversation about ethics, values and the
creation of values for stakeholdersCreate mechanisms of
dissentTake a charitable understanding of others’ valuesMake
tough calls while being imaginativeKnow the limits of the
values and ethical principles they liveFrame actions in ethical
termsConnect basic value propositions to stakeholders
Freeman & Stewart (2006)
Sandler O’Neill today
Website:
[http://www.sandleroneill.com/firm-overview.htm]
Recommended Reading
Argenti, Paul. (2002). Crisis Communication: Lessons from
9/11. Harvard Business Review (December): 3-8.
Bridges, William. (1991). Managing Transitions. Reading, MA:
Addison-Wesley.
Bryan, Lowell & Farrell, Diana. (2008). Leading through
Uncertainty. McKinsey Quarterly, (December): 1-13.
Freeman, R. Edwarfd & Stewart, Lisa. (2006). Developing
Ethical Leadership, Business Roundtable Institute for Corporate
Ethics.
Marks, Mitchell L. (2003). Charging Back Up the Hill:
Workplace Recovery After Mergers, Acquisitions, and
Downsizings. San Francisco: Jossey-Bass.
345.docx

PERSONAL CASE ANALYSIS: Understanding Organizational
Change
Focus on a specific critical incident that you have been involved
in a group or organization (at
work, as part of a club or sports team, volunteer organization,
as a student at Bentley) that has
involved change. Briefly describe the incident, providing
sufficient background material to clarify
the situation as necessary, the nature of the change, and how it
was handled.
Using relevant course concepts from the Organizational
Dynamics section of the course
(managing change, intergroup relations, leadership,
organizational politics), probe and analyze the
change, assessing:
1. What was done well
2. What could have been done better (or differently)
3. The ramifications of this experience for your understanding
of management and the
change process.
Be sure to support your analysis and conclusions through an
explicit use/application of relevant
course material.
The final paper is meant to stimulate your thinking about both
the conceptual and pragmatic/
applied aspects of course concepts. Your paper should be word-
processed, double-spaced, and
approximately 5 pages in length. The paper is due no later than
our final exam block. Drop the
paper off to either my office (AAC315), the Management
Department (AAC308), or submit it

electronically ([email protected]). Early papers will be accepted
but the deadline, which will
be announced in class, is firm.
Please note that the final paper must be submitted to
turnitin.com – instructions to follo
Water Planet is considering purchasing a water park in Atlanta,
Georgia, for $1,870,000. The new facility will generate annual
net cash inflows of $460,000 for eight years. Engineers estimate
that the facility will remain useful for eight years and have no
residual value. The company uses straight-line depreciation, and
its stockholders demand an annual return of 10% on investments
of this nature.
REQUIREMENTS:
1. Compute the payback, the ARR, the NPV, the IRR, and the
profitability index of this investment.
2. Recommend whether the company should invest in this
project.

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MG345_Lead from Middle.pptLeading from the Middle Exe.docx