1

Organizational Change Applied to the P-O-L-C Framework

Diana Hargrove

South Texas College

ORGL 4342-KV2

Professor Jose Cruz

December 2, 2022
 2

Abstract

The purpose of this paper is to analyze each dimension of the P-O-L-C framework which

includes planning, organizing, leading, and controlling and determine how each dimension can

be applied to organizational change. Specifically, how can this framework be applied to Rogers’

model of change, Kotter’s model of change, Lewin’s model of change, and some of the

dimensions of the organizational capacity for change? Additional recommendations are also

stated for utilizing efficient change in an organization when using the P-O-L-C framework.

Keywords: P-O-L-C framework, Rogers, Kotter, Lewin, organizational capacity for

change
 3

Organizational Change Applied to the P-O-L-C Framework

The P-O-L-C framework consists of planning, organizing, leading, and controlling

(Carpenter et al., 2012). This framework was adapted from Henri Fayol’s five principles of

management published in 1916 which are planning, organizing, commanding, coordinating, and

controlling (Conkright, 2015). Conkright (2015) states that the commanding and coordinating

functions were later adapted into the leading function of management. This framework is used to

help managers make decisions and lead their organizations in day to day activities. The purpose

of this paper is to analyze each stage of the P-O-L-C framework and determine how each stage

can directly be applied to organizational change. There are two peer-reviewed journal articles

that will be used that apply to the P-O-L-C framework. The first one is Using the Four Functions

of Management for Sustainable Employee Engagement written by Conkright, T. in 2015. The

second one is The Functions of Management as Mechanisms for Fostering Interpersonal Trust

written by Schraeder, M., Self, D. R., Jordan, M. H., & Portis, R. in 2014. The central theme of

these two articles is how the P-O-L-C framework can be utilized in employee engagement and

fostering trust. These articles do break down each step of the P-O-L-C framework, where I have

then analyzed their finding and determined how they can be used in effective organizational

change. I am also using the book Management Principles written by Carpenter, M., Bauer, T., &

Erdogan, B. in 2012 that also helps to break down the P-O-L-C framework.

I will be using three journal articles that pertain to the theories of change I will be

discussing. The first one is Back to the Future: Revisiting Kotter’s 1996 Change Model written

by Appelbaum, S.H., Habashy, S., Malo, J. L., & Shafiq in 2012. Appelbaum et al. (2012) states

that Kotter developed an eight step model for change which are creating urgency, building a

coalition, creating a vision, communicating the vision, empowering others, creating quick wins,
 4

building on the change, and embedding the change. The second one is Kurt Lewin and the

Planned Approach to Change: A Re-Appraisal by Burnes, B. in 2004. Burnes (2004) states that

there are driving forces for change and resisting forces against change and in order for change to

be successful the driving forces for change must be greater than the resisting forces against the

change. The third one is Detailed Review of Rogers’ Diffusion of Innovations Theory and

Educational Technology-Related Studies Based on Rogers’ Theory by Sahin, I. with no date

given for publication. Sahin (n.d.) states that Rogers’ diffusion and adoption theory has five

stages which are knowledge, persuasion, decision, implementation, and confirmation.

I will also be using some of the dimensions of the organizational capacity for change. The

book I will be using is Focusing on Organizational Change published by Saylor Academy in

2012. Saylor Academy (2012) states that there are eight dimensions of the organizational

capacity for change which are trustworthy leadership, trusting followers, capable champions,

involved middle management, systems thinking, communication systems, accountable culture,

and innovative culture.

When looking at Rogers’ and Kotter’s theories they are very similar and can be seen to

overlap each other. They are the steps one must take to effectively execute change. My goal is to

take each step of the P-O-L-C framework and apply each stage to Kotter’s and Rogers’ change

models. Also, including how Lewin’s theory can relate to the planning stage and how certain

dimensions of the organizational capacity for change can be applied

Literature Review

Planning
 5

Planning is the first step in the P-O-L-C framework and consists of setting objectives and

determining a course of action for the organization to take in order to achieve those objectives

(Carpenter et al., 2012). This involves organizations setting goals and determining the best way

to meet those goals. Information is gathered and analyzed in order to make the best possible

decision. Schraeder et al. (2014) states that employees should be allowed to participate in the

decision making process since they can generate new ideas and offer valuable insight. When

done well, a planned engagement strategy is championed by top leadership and

implemented by a cross-functional team of stakeholders (Conkright, 2015, p. 3).

When analyzing the eight components of Kotter’s model of change, the planning stage

relates to the second step of building a coalition, the third step of creating vision, and the fourth

step of communicating the vision. Planning involves building a team of people that develop a

clear mission and vision. In order for the team to effectively execute the organizations goals and

strategy, the vision must be clearly communicated to the team.

When looking at Rogers’ five components of change, the planning stage directly relates

to the first step of knowledge. Specifically, it relates to principles-knowledge which include the

functioning principles of describing how and why an innovation works (Sahin, n.d.). So, during

the planning stage the organization is gathering and analyzing information in order to figure out

what their objectives are and how they are going to work by developing a strategy in order to

meet those objectives.

Another part of the planning process is environmental scanning. This is where planners

must be aware of the critical contingencies facing their organization in terms of economic

conditions, environmental conditions, their competitors, and their customers (Carpenter et al.,

2012). This directly relates to Lewin’s force field theory and the forces driving change or
 6

resisting change. Lewin believed that in order for an organization to be successful at change they

would need to identify, plot and establish the potency of these forces, then it would be possible

not only to understand why individuals, groups and organizations act as they do, but also what

forces would need to be diminished or strengthened in order to bring about change (Burnes,

2014, p. 982). So, during environmental scanning while in the planning stage the forces that are

driving change or resisting change are also being analyzed. Then this analysis is used as the basis

for planning.

Organizing

Organizing is second step in the P-O-L-C framework and is when management is

involved in numerous activities directly or indirectly related to the allocation of resources in

ways that support the achievement of goals and plans that were developed in the planning

function (Schraeder et al., 2014, p. 55). Part of the organizing process is developing an

organization structure and individual job design. Decisions are made about the duties and

responsibilities of individual jobs and how the duties in each individual job should be carried out.

Organizing involves looking at every function and process that impacts engagement and each

individual engagement scheme decided on in the planning stage as well as developing new

processes, mind-sets, and approaches that support the overall initiative (Conkright, 2015, p. 3).

The organizing process can be applied to Kotter’s fifth step of empowering others or

empowering broad-based action which includes getting people involved in the change effort. In

order to get people involved in the change effort, you must form a job structure and individual

jobs in order for them to think about the changes and how they will execute them. Empowering

others involves removing barriers and addressing four major obstacles which are structures,

skills, systems, and supervisors (Appelbaum et al., 2012). By developing an efficient

 7

organizational structure, assigning supervisors, and individual job roles this will help in part of

the organizing process to create the change.

The third stage in Rogers’ model is the decision stage which is when decisions are made

to either accept or reject the new ideas (Sahin, n.d.). This relates to the organizing stage because

decisions are being made and executed as to who will be assigned which jobs, how will the

organizational structure of jobs be designed, and how will the resources be allocated. Rogers’

expressed two different types of rejection which are active rejection which is when an individual

tries something and later rejects it or and passive rejection which is when the individual never

considers adopting the innovation (Sahin, n.d.). During the organizing stage both types of

rejection can be present. This is the stage where decisions are being made though, rather to reject

something or adopt something new.

Leading

The third function in the P-O-L-C framework is leading. The leading function of

management can include organizational change and is a multi-dimensional process that includes

motivation and influence of employees (Schraeder et al., 2014, p. 55). Leading an organization

through a significant change, especially one fraught with diverse interpretations, conflicting

drives, and competing forces such as employee engagement, requires strong and well-

coordinated leadership (Conkright, 2015, p. 4). There are many things that leaders can do to

motivate employees. Leading others requires informal and social forces that inspire others to take

action (Carpenter et. al., 2012).

Rogers’ fourth step is implementation and this is the stage where an innovation is put into

practice (Sahin, n.d.). So, after the organizing stage the leading stage is where employees are

involved in implementing the organizational structure that has been put into place. This is where
 8

leaders can figure out what are things that are working in the organization and if they are any

thigs that need to be adjusted. Part of the implementation process can be reinventing.

Reinvention is the degree to which an innovation is changed or modified by a user in the process

of its adoption and implementation (Sahin, n.d.). Leaders are responsible for adjusting things that

are not working.

Dimension one of the organizational capacity for change is trustworthy leadership.

Trustworthiness is essential for leadership effectiveness and can be viewed as the quality of

someone being competent and benevolent so that others can safely be in partnership with that

person (Saylor Academy, 2012). When looking at leadership, trust plays a valuable role in the

attitudes of employees. Recent research indicates different aspects of trust are related to higher

levels of many job attitudes which include perceived organizational support and affective

organizational commitment (Schraeder et al., 2014, p. 56). In order for a leader to be effective,

they must be viewed as trustworthy.

Dimension two of the organizational capacity for change is trusting followers. Being a

trustworthy leader is not enough; you must also have trusting followers. Trust is what makes all

things possible and refers to a person’s belief that others make sincere efforts to uphold

commitments and do not take advantage of that person if given the opportunity (Saylor

Academy, 2012). A sincere leader is accountable to followers and builds trust, honesty, and

transparency which are crucial to the leader-follower relationship (Conkright, 2015, p.5).

Leaders should take into consideration when implementing the third step of the P-O-L-C

framework that their job is not just simply to lead. It also involves being a trustworthy leading

and having trustworthy followers.

Controlling
 9

The fourth function in the P-O-L-C framework is control which includes managerial

efforts directed toward monitoring both organizational and employee performance and progress

toward goals (Schrader, 2014, p. 56). Controlling is when the organization is making sure that

performance is matching the standards they have set out in the previous framework. The

controlling process consists of three steps which are establishing performance standards,

comparing actual performance against standards, and taking corrective action when necessary

(Carpenter et al., 2012).

Controlling applies to Kotter’s seventh and eighth step of building on the change and

embedding the change. Kotter’s seventh step is consolidating gains and producing more change

which is done by leaders using short-term gains in order to deal with other problems, such as

systems and structures that are not in line with the recently implemented changes (Appelbaum et

al., 2012). When utilizing the controlling function managers are looking at the results that are

being accomplished and seeing if there are issues that need to be dealt with. The eighth step of

Kotter’s model consists of anchoring new approaches in the corporate culture which include

showing employees how new approaches have helped the organization improve performance and

ensuring that any new management utilizes the same approaches (Appelbaum et al., 2012).

Controlling can also be applied to Rogers’ fifth step of confirmation. The confirmation

stage is where evidence or support is used to either continue using or reject current innovation

being used (Sahin, n.d.). According to Schrader et al. (2014) control activities should be

structured in ways that guide employee development and promote continuous improvement. So,

during the controlling stage managers are able to look at the results and determine if the current

innovations ae working and if they should continue being used, or if they are failing and

something new needs to be developed.

 10

The controlling stage can also be applied to the seventh dimension of the organizational

leadership capacity of accountable culture. Accountability refers to the willingness or obligation

on has to accept responsibility for their own actions (Saylor Academy, 2012). Accountability in

the context of controlling employee engagement momentum means that both leaders and

followers are accountable to one another (Conkright, 2015, p. 6). This means that the leaders are

accountable to the followers by trusting them with decisions and allowing them the flexibility to

adequately perform the duties of their job. Also, the followers are accountable to the leaders by

ensuring they do their job to the best of their abilities and are meeting the goals set out by the

organization in the planning of this process.

Findings

When first setting out to this research, I quickly learned that there was not a lot of

information available for research that has been done on applying the P-O-L-C framework to

organizational change. It was my goal then, to research each stage of the framework and research

each theory and use my interpretation of how they can each be applied to one another.

The planning stage is the first stage of the framework and consists of developing a clear

mission, strategy, objectives, and developing a plan of action to meet the objectives (Carpenter,

2012). This stage can be related to Kotter’s second, third, and fourth stage of the change model

which are building a coalition, creating a vision, and communicating the vision (Appelbaum et

al., 2012). It can also be applied to Rogers’ first stage of knowledge. Environmental scanning is

one of the first steps in the planning process. This step can be directly related to Lewin’s field

theory. Since environmental scanning is being aware of factors that could potentially affect your

organization, which can also be related to factors that are for the change and factors that are

resisting the change.

 11

The second stage of the framework is organizing and involves developing an

organizational structure and allocating resources to meet the goals that were developed in the

planning stage (Schrader et al., 2014). This stage can be related to Kotter’s fifth step of

empowering others since an organizational structure with specific job duties is assigned during

this stage. This stage can also be applied to Rogers’ third stage of decision since decisions are

being made as to how the organizational structure will be and how resources will be allocated to

meet the goals.

The third stage of the framework is leading and this is a process that includes the

motivation and leading of the employees (Schrader, 2014).This stage can be applied to Rogers’

fourth step of implementation which is where innovation is put into practice (Sahin, n.d.). The

leaders and employees have now been given the organizations goals and job structure and they

are now required to lead others and effectively execute the organizations mission. They are

putting into practice the new information they have been given. This stage also directly relates to

the first and second dimension of organizational capacity for change which is trustworthy

leadership and trusting followers. In order for leadership to be successful the leaders must be

viewed as being trustworthy and also having trusting followers.

The fourth stage of the framework is controlling and is where managers are able to

monitor the progress of the employees and how well they are meeting the goals of the

organization (Schrader, 2014). This stage can be applied to Kotter’s seventh and eighth step

which are building on the change and embedding the change. It can also be applied to Rogers’

fifth step of confirmation which is where evidence is used to either support or reject an

innovation. (Sahin, n.d.). This is where managers determine what things are working and if they

are things that need to be changed or improved upon. This stage also applies to the seventh
 12

dimension of the organizational capacity for change which is accountable culture. When

managers look at the results of the employees they are responsible and accountable for fixing the

issues that aren’t working. Also, employees are responsible to the leaders by ensuing they are

performing their job in a way that meets the companies goals.

Conclusion

In conclusion, the P-O-L-C framework can also be used by managers when trying to

implement change within the organization. Each step within the framework can also be

effectively applied to organizational change. One recommendation I do have is when utilizing

the P-O-L-C framework is also incorporating a sense of urgency. The need for change must be

understood by the employees, so leaders should look to building compelling cases for change

during the planning stage. Another recommendation I have, is developing small wins. This

should be done in the leading stage. When you are leading others, look for ways to create small

wins that can help them to appreciate and accept the change. Any organizational change is going

to be a process. When using the P-O-L-C framework, it is important to also keep in mind the

theories of change and the dimensions for organizational capacity for change.
 13

References

Appelbaum, S. H., Habashy, S., Malo, J. L., & Shafiq, H. (2012). Back to the Future: Revisiting

Kotter's 1996 Change Model. Journal of Management Development, 31(8), 764–782.

https://doi.org/10.1108/02621711211253231

Burnes, B. (2004). Kurt Lewin and the Planned Approach to Change: A Re-Appraisal. Journal of

Management Studies, 41(6), 977–1002. https://doi.org/10.1111/j.1467-6486.2004.00463.x

Carpenter, M., Bauer, T., & Erdogan, B. (2012). Management Principles.

Conkright, T. A. (2015). Using the Four Functions of Management for Sustainable Employee

Engagement. Performance Improvement, 54(8), 15–21. https://doi.org/10.1002/pfi.21506

Sahin, I. (n.d.). Detailed Review of Rogers' Diffusion of Innovations Theory. Iowa State

University.

Saylor Academy. (2012). Focusing on Organizational Change.

Schraeder, M., Self, D. R., Jordan, M. H., & Portis, R. (2014). The Functions of Management as

Mechanisms for Fostering Interpersonal Trust. Advances in Business Research, 5, 50–62.

 14

Table 1

Stages of the P-O-L-C Framework

Stages

1. Planning 1. Setting Goals and Objectives

2. Strategizing

3. Developing Plan of Action

2. Organizing 1. Organizational Structure

2. Job Design

3. Resource Allocation

3. Leading 1. Leadership

2. Motivation

3. Communication and Coordination

4. Controlling 1. Review and Evaluate

2. System Processes

3. Corrective Action
 15

Table 2

P-O-L-C Framework Related to Change Models

Stages Kotter Rogers Lewin OCC

Planning 2. Build Coalition 1. Knowledge Force Field

3. Create Vision Theory

4. Communicate Vision

Organizing 5. Empower Others 3. Decision

Leading 4. Implementation 1. Trustworthy

Leadership

2. Trusting

Followers

Controlling 7. Build on the Change 5. Conformation 7. Accountable

8. Implement Change Culture

Note. OCC = Organizational Capacity for Change