Part 1 - Process Models of Change (Week 2)

1
Organization
Transforms
Inputs Outputs
inputs into
outputs
2
 External Alignment– Fit between the organization and its
external environment
 Internal Alignment—Fit between its internal components
 The key to an organization’s prosperity and long-term survival
is the quality of FIT and the state of ALIGNMENT between its

internal components and its eternal environment.
 Internal and external alignment promotes organizational
effectiveness
 Because, when aligned, the various elements reinforce rather
than disrupt each other, thereby creating synergy and

preventing loss of resource.
 This is the ‘Theory of Congruence’.
Internal
alignment
Inputs Outputs
External External
alignment alignment
Alignment is best viewed as a process rather than a state (because

perfect alignment is rarely achieved)
Failure to recognise the need for change and forces for inertia that
resist change make it difficult to achieve and maintain alignment
4
The intentional management of change involves a change agent
deliberately intervening to create a new state of affairs
5
Driving forces Restraining forces
Stable quasi-
stationary
equilibrium
6
The level of behaviour (current state) can be changed by:
Increasing
forces for
change
Diminishing
opposing
(restraining) forces
7
Both approaches can be effective but the secondary effects
associated with each approach are different.
 Pushing for change (increasing the driving forces) produces
greater tension and only secures compliance.
original New
situation situation
PUSHING
for change
COMPLIANCE
 Reducing restraining forces can promote ownership and win

commitment
8
 New Product Quality Initiatives
Lewin argued that successful change requires a three step
process:
Unfreezing involves destabilizing the balance of driving and

restraining forces. This can be achieved by weakening the
restraining forces; for example, by creating a vision of a more
desirable future.
Moving involves shifting the balance of driving and restraining

forces by intervening to modify attitudes and beliefs and by
adjusting the processes, systems and structures that shape
behaviour.
Refreezing involves reinforcing new behaviours in order to

maintain new levels of performance and to avoid regression.
11
Building on Lewin’s notion that change is a process, Hayes and
Hyde developed a model that identifies some of the critical aspects
of managing change.
External change
presents
problems & Review
opportunities
Diagnose
Recognise Start Plan
the the review identify & prepare Implement Sustain
need for Change present future to the change
change process state state implement change
12
Review
Diagnose
review identify Implement
the the & prepare Sustain
present future the
need for Change to change
state state change
change process implement
1. Recognizing the need for change

Recognition involves complex processes of perception, interpretation
and decision making.
13
Review
Diagnose
present future the
state state change
Who formulates the

agenda for change?
Do leaders listen to
informed others?
Do informed others voice
their opinions?
Some of the questions that have to be

addressed at this stage
14
Review
Diagnose
present future the
state state change
2. Starting the change process

This involves
 Translating the need for change into a desire for change
 Deciding who will manage the change
15
Review
Diagnose
present future the
state state change
Is there a guiding coalition

with sufficient power to get
things done?
How is the need for change
translated into a desire for
change? Some of the questions that
Who leads the change: have to be addressed at this
senior managers or users?
stage
16
Review
Diagnose
present future the
state state change
3. Diagnosis
 Reviewing the present state
 Identifying the desired future state
People are more likely to be motivated to change if the diagnostic process:
 Disconfirms their view that all is well
 If this challenge produces an appropriate level of anxiety
 The vision offers sufficient incentive
17
Review
Diagnose
present future the
state state change
Who does the diagnosis

(senior managers, experts or
users/operators)?
Are they willing to accept new data or Some of the
do they defend the status quo?
questions that have
Does the diagnosis create a shared to be addressed at
vision that helps direct change efforts ?
this stage
18
Review
Diagnose
present future the
state state change
4. Preparing and planning for implementation

 Plans have to take account of different lead times,
interdependencies, necessary resources and other constraints
 Most important of all, plans need to address political issues.
19
Review
Diagnose
present future the
state state change
Is it clear what needs to be done?
Is the change strategy appropriate

– for example, push or pull?
Is sufficient attention given to
stakeholders?
Some of the questions that have to be addressed

at this stage
20
Review
Diagnose
present future the
state state change
5. Implementing
 Implementation may involve following a ‘blueprint plan’ to move from
A to B.
 However, sometimes it is impossible to specify B. Implementation
becomes an open-ended, iterative process. It involves taking tentative
steps in what is hoped is the right direction and then reviewing whether
the step worked and the direction still holds good.
21
Review
Diagnose
present future the
state state change
Do leaders communicate a
compelling vision?
Do they adopt the most effective

communication strategy?
Do they empower and motivate

people to implement the change?

at this stage
22
Review
Diagnose
present future the
state state change
6. Reviewing
 Reviewing not only refers to a post-implementation review. It is
an on-going activity, checking progress against agreed milestones.
23
Are there opportunities for
Are mistakes viewed as
dialogue for all involved in the
opportunities for learning?
change?
Do managers actively seek Do people appreciate the systemic
feedback? nature of the organisation?
Review
Diagnose
present future the
state state change

at this stage
24
Review
Diagnose
present future the
state state change
6. Sustaining
Sustaining involves refreezing behaviour at the new level for as long
as it is beneficial to do so.
It includes:
 Consolidating and building on gains
 Spreading new methods and process across the organisation.
25
Review
Diagnose
present future the
state state change
Do leaders reinforce changes post-

implementation?
Do leaders avoid declaring victory
too soon?

at this stage
26
Review
Diagnose
present future the
state state change
Managing people issues
Throughout the whole process a number of people issues have to

be addressed. These include:
 Power, leadership and stakeholder management
 Communication
 Motivating others to change
 Support for others to help them manage their personal transitions
27
Specimen questions that involve
power, leadership and stakeholder Are mistakes viewed as opportunities for
management learning?
Review
Diagnose
present future the
state state change
Is there a guiding coalition with sufficient Is the change strategy appropriate Do leaders reinforce
power to get things done? – for example, push or pull? changes post-
Who leads the change: Is sufficient attention given to implementation?
senior managers or users? stakeholders? Do leaders avoid
declaring victory too
soon?
Who formulates the Do leaders communicate a compelling

Who does the diagnosis vision?
agenda for change? (senior managers, experts or users/operators)?
Do they empower and motivate
Do leaders listen to Are they willing to accept new data or do they defend people to implement the change?
informed others? the status quo?
Does the diagnosis create a shared vision that helps
direct change efforts ?
Are there opportunities for dialogue
Specimen questions that for all involved in the change?
Do managers
involve communication actively seek Do people appreciate the systemic
feedback? nature of the organisation?
Review
Diagnose
present future the
state state change
How is the need for change

translated into a desire for change? Is it clear what needs to be done?

stakeholders?
Do leaders listen to Are they willing to accept new data or do they Do leaders communicate a
informed others? defend the status quo? compelling vision?
Do informed others Does the diagnosis create a shared vision that
helps direct change efforts ? Do they adopt the most effective
voice their opinions? communication strategy?
29
Are mistakes viewed as opportunities for
Specimen questions that learning?
involve motivation Are there opportunities for dialogue for all
involved in the change?
Review
Diagnose
present future the
state state change
How is the need for change translated Is the change strategy appropriate
into a desire for change? – for example, push or pull?
stakeholders?
Do leaders listen to
Does the diagnosis create a shared vision that helps Do they empower and motivate
informed others?
direct change efforts ? people to implement the change?
What other questions need to be addressed at each step
in the change management process?
?
Review
Diagnose
present future the
state state change
? ? ? ? ? ?
? ? ? ? ? ?
? ? ? ? ? ?
31
Learning log
After each session review what you have learned and,
prompted by the material studied, identify the questions
that a change manager might need to address.
?
?
?
Review
Diagnose

Implement
the the review identify & prepare Sustain
the
need for Change present future to change
state state change
? ? ? ? ? ?
? ? ? ? ? ?
? ? ? ? ? ?
Many of the questions you identify will relate to the step in the change process
that you have been studying, but you might also think of questions that relate
to other steps in the process. Make a note of these on the appropriate page
in your log. 32
Summary
 Open systems theory suggests that the key to an
organization’s prosperity is the state of alignment between
the internal components of the organization, and between
the organization and the wider system of which it is a part.
 Alignment is presented as a process rather than an end state.
 Lewin’s force-field theory and his three step model of change
provide a conceptual framework that can facilitate the

process of change management.
 Drawing on the work of Lewin, a generic model of change
management (which applies to change at the level of the

individual, group and organization) is presented as a process
involving eight elements.
33
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1

 The key to an organization’s prosperity and long-term survival

is the quality of FIT and the state of ALIGNMENT between its

than disrupt each other, thereby creating synergy and

Alignment is best viewed as a process rather than a state (because

Driving forces Restraining forces

 Reducing restraining forces can promote ownership and win

Unfreezing involves destabilizing the balance of driving and

Moving involves shifting the balance of driving and restraining

Refreezing involves reinforcing new behaviours in order to

1. Recognizing the need for change

Who formulates the

Some of the questions that have to be

2. Starting the change process

Is there a guiding coalition

Who does the diagnosis

4. Preparing and planning for implementation

Is it clear what needs to be done?

Is the change strategy appropriate

Some of the questions that have to be addressed

Do they adopt the most effective

Do they empower and motivate

Some of the questions that have to be addressed

Some of the questions that have to be addressed

Do leaders reinforce changes post-

Some of the questions that have to be addressed

Managing people issues

Throughout the whole process a number of people issues have to

Who formulates the Do leaders communicate a compelling

How is the need for change

Is sufficient attention given to

Recognise Start Plan

 Lewin’s force-field theory and his three step model of change

provide a conceptual framework that can facilitate the

management (which applies to change at the level of the

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