Change Management Practices by State and Local Food Safety Regulatory Agencies
Tessa Dixon, R.S., MBA
Program Manager
Louisiana Department of Health and Hospitals
Office of Public Health - Sanitarian Services
Food & Drug and Milk & Dairy Programs
International Food Protection Training Institute (IFPTI)
2014 Fellow in Applied Science, Law, and Policy: Fellowship in Food Protection
Correspondence concerning this article should be addressed to Tessa Dixon (Tessa.Dixon@la.gov)
Abstract
This study examined the responses of state and local food safety employees, whose agencies have undergone program transformations, as to whether or not change management practices were in place. The study was conducted via an online survey to gather qualitative data on the use of change management practices by state and local food safety employees who experienced program changes within a period of the last 10 years, or since 2005. The survey was sent to 289 people within the Association of Food and Drug Officials’ Directory of State and Local Officials and had a 26% response rate. The participants that met the study population criteria were asked a series of questions to determine if transition plans are used and if change management practices are implemented. The study suggested that change management practices may be present. However, whether or not these practices are related to program changes and transition plan implementation is unclear. The findings of this study indicate that education and outreach may be needed in the area of change management practices within upper management of food safety programs to help ensure successful program reforms and change initiatives.
Keywords: change management, state and local food safety program, transition plan
Background
State and local food safety agencies may implement change initiatives for a variety of reasons. Some of the reasons may be to standardize programs, create efficiencies, implement cross-training, and/or assign inspectors additional or new work assignments. Federal and state cooperative agreement programs, such as the Manufactured Food and the Voluntary National Retail Food Regulatory Program Standards, are also an impetus for change by state and local food safety programs. State and local food safety agencies may implement transition plans and apply change management practices to ensure the intended outcomes for a change initiative are achieved. As the nature of foods and food preparation processes changes, regulatory agencies must change to accommodate these developments.
A transition can be seen as either a process or a period of change from one state or condition to another (Oxford dictionaries, 2015). For example, when cross-training provides retail food inspectors with the knowledge of how to inspect food manufacturing facilities, this kind of knowledge transfer enhances the inspectors’ existing abilities. This type of change in duties requires careful planning at the managerial level in order to be deemed successful. Transition planning puts the goals, priorities, and strategies in place for a successful transition (Entrepreneur Media Inc., 2006).
Change management is explained by Kotter (2011) as “a set of basic tools or structures intended to keep any change effort under control.” These tools minimize disruptions during the change process and help to ensure the processes are done efficiently and at a pace and in a manner that are congruent with the specified objectives. According to Van Velsor et al. (2010), change management is defined as “effective strategies to facilitate organizational change initiatives and to overcome resistance to change” (p. 5). An example of an outcome is conformity with the Food and Drug Administration’s Manufactured Food Regulatory Program Standards. The outcome is the desired organizational objective, which is the direct result of multiple processes and their associated outputs (Improvement Skills Consulting LTD., 2011, p.2).
Without a clearly-defined transition plan that also addresses core competencies required of new responsibilities, the desired outcomes may not be realized as intended. Ideally, change management results in the intended outcomes of a change initiative. Food safety programs undergoing changes may not fully realize the intended positive impacts if transition plans and change management practices are not drafted, communicated effectively with staff members tasked with handling the changes in various capacities, and implemented fully.
Problem Statement
The extent to which change management practices are utilized within state and local food safety agencies is unknown.
Research Questions
To evaluate whether change management practices are in place, this study was designed to answer the following research questions:
1. Do state and local regulatory agencies prepare, communicate, and implement transition plans when change initiatives occur?
2. Is employee input allowed during the transition plan development process?
3. Do transition plans address competencies identified for changes in work assignments, provide adequate training for the new competencies, and outline new employee responsibilities?
4. Do the transition plans have realistic timelines for implementation, are they effectively implemented, and are they the right solution for the change initiative?
Methodology
An exploratory survey was conducted via the web-based instrument Survey Monkey (SurveyMonkey, Inc.). The study population included 289 full-time state and local food safety employees listed in the Directory of State and Local Officials (DSLO) published by the Association of Food and Drug Officials (AFDO). The study did not include tribal agencies, as they are exempt from most regulatory oversight and do not meet the population criteria. The survey comprised a total of nine questions, a two-step selection process, and two screening questions.
The first step was comprised of eight questions, five of which were to collect demographic information with a screening question to select for state and local food safety employees. Next, a screening question eliminated those participants that had not experienced program changes within the last 10 years. The respondents were then asked if they were familiar with the term “change management” and were asked if they believed a transition plan was provided by upper management for the change their program underwent.
The second step was comprised of nine questions. The purpose of these questions was to determine if transition plans were implemented as a result of change initiatives, thus reflecting change management practices. These questions provided insight into the change management practices used by the respondents’ agencies from a personal perspective.
Results
A total of 75 participants (26%) responded to the survey within a three-week period. Seventy-one respondents were employed as state or local food safety employees; four respondents were removed because they did not meet the population criteria. Thirty-seven respondents were employed by Departments of Health (56%), twenty-seven were with Departments of Agriculture (41%), two came from (3%) equivalent departments, and 5 did not answer, bringing the total for statistical analysis to a total of 66 respondents (4 were previously screened out of the survey) (see Figure 1).
Of the 66 individuals with identified employers, 51% were familiar with the term “change management” and the remainder was not. Forty-nine respondents (74%) of the 66 individuals indicated their food safety program had undergone or implemented a change initiative within the last 10 years (see Figures 2 and 3). Examples of the change initiatives provided by respondents included cross-training, food safety program re-organizations, Lean Six Sigma, and other transformations that resulted in changes in work assignments.
The 49 respondents who had experienced program changes within the last 10 years were asked if they believed that a transition plan was implemented to address the change initiative. Of the 49 respondents, 23 (55%) indicated a transition plan was provided; 42 provided responses, while 7 respondents skipped this question.
The 42 respondents were asked a series of questions about their experience with the program changes within their agency. The questions were intended to determine if they felt their organization had implemented transition planning. As shown in Table 1, a majority of respondents believed transition planning was effectively implemented for the change initiative and was the right solution.
1. Over 40% of the respondents felt that a transition plan was provided, communicated, and effectively implemented when change initiatives occurred.
2. Employee input was allowed during transition, according to 43%.
3. About 48% reported that the transition plan addressed core competencies for the changes in work assignments.
4. Fifty-two percent believed that adequate training was provided for in the transition plan.
5. Forty-eight percent reported that the transition plan included and outlined new employee responsibilities.
6. A total of 43% believed that the transition plan was implemented effectively. However, only 36% felt the timeline for implementation was realistic.
7. Half the respondents believed that the transition plan was the right solution for the change initiative.
Conclusions
The survey results suggested that change management practices may be present; however, whether or not these practices coincide with successful change initiatives and transition plan implementation is unclear.
Recommendations
Based on the results and conclusions of this research project, the following recommendations are made for food safety agencies to consider:
1. State and local regulatory agencies should prepare, communicate, and implement transition plans when change initiatives occur to ensure the desired outcomes are achieved.
2. Employees who are directly impacted should be given the opportunity to provide feedback on proposed program changes.
3. Transition plans should include a detailed outline of the core competencies required for the new assignment(s) and outline the employee’s respective roles and responsibilities.
4. As transition plans are implemented, upper management and leadership should ensure change management practices are actively exercised throughout the entire change process.
5. Upper management and leadership should evaluate the effectiveness of the transition plans employed and alter the plans to maximize the efficacy and ease of future transitions.
Acknowledgments
I would like to thank the International Food Protection Training Institute (IFPTI) for allowing me the opportunity to participate in Cohort IV of the Fellowship for Food Protection. Thank you to my mentor, Jim Sevchik, who graciously guided me and kept me focused throughout the entire process. This project would not have been a success without the expert guidance from Paul Dezendorf and Craig Kaml, Research Subject matter experts. Paul was especially supportive and made himself available seven days a week. Thank you to my supervisor, Lance Broussard, and Director of Sanitarian Services Tenney Sibley, for supporting this endeavor. Additional support was provided by my counterpart manager Brian Warren, which was greatly appreciated. Thank you to our FDA Manufactured Food Regulatory Program Standards liaison, Tressa Madden, for encouraging me to apply for the Fellowship, as it has been an amazing experience and tremendous learning opportunity. A sincere thank you to all of the Fellows that participated in Cohort IV—it has been an amazing experience and each of them has supported me throughout this journey and have become true colleagues and friends of mine. Finally, thank you to my husband, James, for his continued support in my professional endeavors.
References
Entrepreneur Media, Inc. (2006, October 17). Business transition planning FAQs. Retrieved from http://www.entrepreneur.com/article/169192
Improvement Skills Consulting Ltd. (2011). Outcomes and outputs: Are they different? Retrieved from: https://ianjseath.files.wordpress.com/2011/12/outcomes-vs-outputs.pdf
Kotter, J.P. (July 12, 2011). Change management vs. change leadership—What’s the difference? Forbes. Retrieved from http://www.forbes.com/sites/johnkotter/2011/07/12/change-management-vs-change-leadership-whats-the-difference/
Oxford Dictionaries. (2015). Transition. Retrieved from Oxford University Press website: http://www.oxforddictionaries.com/definition/english/transition
SurveyMonkey, Inc. (n.d.). Palo Alto, California, USA. Retrieved from: www.surveymonkey.com
Van Velsor, E., Turregano, C., Adams, B., & Fleenor, J. (2010). Creating tomorrow’s government leaders: An overview of top leadership challenges and how they can be addressed. Retrieved from Center for Creative Leadership website: http://www.ccl.org/leadership/pdf/research/creatingGovernmentLeaders.pdf