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Expanding the traditional change

management model to incorporate


strategy, skills, and structures can
increase your success.

Successful Ghanéc
Requires More Than
Change Management
Eric Carter o change your organization, at A Brief History
T either the department level or
at the organizational level, success
One of the earliest change models
was developed by social psychologist
is more likely if you apply more Kurt Lewin and describes a three-
than just change management stage process. The first stage, called
approaches. Changing requires "unfreezing," involves setting aside
addressing the strategy (what you the existing mindset and preparing
are trying to change), skills (what to change. During the second
capabilities the recipients of the stage, change occurs, creating a
change need for success in the period of transition and confusion
new state), and structures (the as adaptation occurs. The third
long-term and short-term organi- and final stage, called "freezing" or
zational tools that support the sometimes "refreezing," involves
new state). Moreover, if these areas solidification of the new mindset
are not aligned, then the desired and a return to pre-change comfort
outcome (e.g., a changed organiza- levels (Lewin, 1947).
tion) may never come to fruition.
This article provides a brief Strategy
history of strategy, skills, and struc- Strategy is not new in the change
tures in the context of a change management realm. Strategies are
initiative and provides an over- ways of pursuing the vision and
view of a methodology that draws mission (Gill, 2003). They answer
on some of the best practices of the questions, such as "What are
existing change management we trying to do? What is the right
methodologies and implementation change for our organization? What
experience. can we execute successfully?" (ßruch

20 THEJOURNAL FOR QUALITY & PARTICIPATION Spring2008


et al., 2005). Additionally, with change Figure 1
processes inherently complex, having
Set UpforSuccess
clear priorities helps maintain order and
keeps the process manageable (Bruch 1 Create Urgency | 1
Unfreeze M
et al, 2005). This includes not only 1 Shape Future P
clearly answering "What?" but also
L
"What not?". By answering these ques- E
tions first, the organization better Move M
understands the purpose of the change,
-^— E^ Support Shift ^ ^ — • » -
N
increasing the likelihood of success. T • ^ ^ • ^ ^ Sustain Momentum
Refreeze
Stahilize Environment
Skills
Skills important to change were used
to devise a framework, known as the Leading Change (Strategic and Social/Emotional)
"McKinsey Seven S's," by the company's
Managing Change (Tactical and Technical)
consultants and U.S. academics Richard
Pascale and Anthony Athos, and later The "Unfreeze, Move, and Refreeze" portion ofthis model is adapted
reported by Thomas J. Peters and from Kurt Lewin's "Three Stages of Organizational Change" model.
Robert H. Waterman Jr. in their 1982
book. In Search of Excellence (Peters and
Waterman as cited by Higgins, 2005). The original and structures that support jobs are altered. By chang-
framework included strategy, structure, systems, style, ing jobs, job descriptions, and authorities, the way that
skills, staff, and shared values. Subsequently, the Seven people spend their time can be heavily influenced.
'S's framework was extended to become the "Eight S's"
(Higgins, 2005). The most significant change involved Change Model
deleting "skills" from the McKinsey model and adding Strategy, skills, and structures are addressed in
"resources" in its place. Furthermore, "strategic perfor- change management methodologies, to varying degrees
mance" was added to the model. With either model, or under different names. It's vital to address all three
skills are an important part of the process. Skills that to drive change; therefore, successfully changing your
are transferred to those affected by the change help organization is more likely by addressing and aligning
with its acceptance by providing the tools or means strategy, skills, and structures than by utilizing change
for dealing with the disorder created as a byproduct management alone. Figure 1 depicts a change model
of the change process. and methodology, comprised of seven phases, that
addresses the strategy, skills, and structures of a
Structures change initiative.
You can categorize long-term structures of an organi-
zation intofiveparts: jobs, the authority to do those jobs, Set Up for Success
the grouping of jobs in a logical fashion, the manager's This is the umbrella phase of the change initiative
span of control, and the mechanisms of coordination that starts with the end in mind and maps out what
(Waterman as cited by Higgins, 2005). Short-term needs to happen. This is a strategic piece of the change
structures can take the form of supporting the people initiative that asks, "What is it that we want to change?"
who are embracing the change. Examples include rein- It is also very tactical as it focuses on goals, roles, and
forcing positive behaviors, celebrating short-term and responsibilities. This phase is led and completed by
long-term successes, and learning. Structures can be the senior executive team.
applied immediately and can affect individual behavior. The output ofthis phase should be communicated
Another change management process found in the across the organization, but the work to achieve that
literature ties back to Lewin's model and identifies four output may require discretion before becoming public
critical processes: chartering, learning, mobilizing, and knowledge. For instance, you may need to eliminate
realigning (Roberto and Levesque, 2005). Realigning senior leadership or midtier levels of management to
includes job redesign where the underlying processes ensure success of the change initiative. Some may see

www.asq.org 21
the initiative as a head count reduction exercise and A vision statement should include long- and short-
that could increase the difficulty of the change. Some term goals —getting to the end of the hallway and
resistance is inevitable, and some dissenters may need negotiating obstacles, respectively. The vision should
to be let go for the greater good of the organization. use appropriate language and be understandable,
credible, and customer-focused. The vision will be
Create Urgency communicated to all levels of the organization. When
This phase ties to Lewin's "unfreeze stage." One establishing the vision, significant changes may be
approach for unfreezing the organization involves possible; however, examine the track record of the
shocking its members with a statement or action that organization to determine the likelihood of success. If
creates anxiety and demonstrates that maintaining incremental change is the only way change was accom-
the status quo is not sufficient. plished in the past, then a vision statement that paints
Additionally, the process of identifying and address- a radically different picture may not seem credible.
ing resistance to change begins during this phase. Finally, a vision statement that proclaims, "We will be
Resistance occurs when the reason for change is sitting on huge bags of money in x years," may not
uncertain, the connection between action and outcome appeal to the hearts and souls of staff members.
is uncertain, and/or the outcome negatively affects the The communication plan is refined during this
individual. phase. Communication is one of the most important
You can deal proactively with resistance by thor- elements in the change process because it helps reduce
oughly conducting the set-up-for-success phase and resistance, minimize uncertainty, and increase stake-
then communicating effectively. In many instances, the holder involvement and commitment. Communication
change initiative leaders may not know all the fears or should be context specific, planned, and include feed-
concerns of the organization, which can be obtained back mechanisms. An effective communication plan
using some relatively simple facilitative tools to acquire requires some thought —not only on the message but
information, asking "What's in it for me?" and "What's also on the audience, phase of the change initiative, the
at risk for me?" or simply gathering pluses and deltas. media, credibility of the leader, and feedback feasibility.
These sessions also can mitigate risk by encouraging dis-
cussion related to the change. For example, a participant Implement
may voice some reasons why the organization should Change is not a linear process; however, linear models
not change. Some of these reasons may be excuses and often are a good place to start. The implementation
some may raise valid issues. Ask the participants if there phase, however, is difficult to place in a linear sequence.
are ways to minimize or eliminate the issue. Sometimes That's why it is positioned vertically, crossing the
the person who voiced the matter also has good ideas linear flow, in this model. Generally it is best if imple-
on how to address it! mentation follows the previous three phases that were
discussed here.
Shape Future This is the phase where the change occurs. For
The next step involves alleviating the anxiety that example, a former paper-based process is replaced with
was just deliberately created by sharing the change a new electronic process. The implementation phase is
vision. Shaping the future shows that there is a better when the new process begins. Furthermore, the skills
place to go, that you (as leader) are confident and needed for a change —particularly the technical skills
competent to lead the change, and that organizational required to work in the new state —also are addressed
members have a place in the new state. Additionally, if during this phase. Remain cognizant of the time that
team members know what the future looks and feels the "change" is to happen and that a good place for
like, they are more likely to follow you quickly. that is after the previous three phases are addressed.
Imagine you are blindfolded and led down the hall-
way. You don't know exactly where you are going and Support Shift
you can't see if the new place is better than the old. You If all is going well at this point, then the organiza-
will most likely follow slowly, if at all. Now remove the tion has begun to move (the second stage of Lewin's
blindfold. You can see where you were and that where model) in the desired direction, but a few resistors may
you are going is a better place. You can see obstacles still remain who are waiting for a negative outcome or
and think about how to negotiate them. an opportunity to drive the organization back to its

22 T H E JOURNAL FOR QUALITY & PARTICIPATION Spring 2008


former state. You should address the resistors, fence institutionalizing long-term structure changes, such as
sitters, and foot draggers at this stage. measuring and monitoring, rewards and incentives,
You can identify supporting and resisting factors, ongoing communication, and operating mechanisms
including resistors, by conducting a force-field analysis, that help make the change the new way of doing busi-
a tool Lewin developed that graphically shows the fac- ness. An example of a measuring and monitoring process
tors and their relative strengths. This tool also makes involves identifying change performance indicators and
it possible to categorize the forces as technological, having them appear on executive dashboards and as
cultural, political, or economic, which aids in develop- part of the standing agenda for executive meetings. This
ing action plans. Generally, it is better to focus on demonstrates that the new state is important and is
reducing the resisting forces than to try to increase the there to stay. Rewards and incentives can affect career
supporting forces, thus, generating a natural forward paths and professional development opportunities. By
momentum for the change and avoiding a tug-of-war. promoting those who embraced the new state, you send
For example, if foot draggers are resisting because they a powerful message to the organization. Additionally,
are not comfortable with a new technological solution, you create, eliminate, and modify positions and job
then you may implement an action plan to ensure descriptions to support the new state during this phase.
that they receive appropriate training or to evaluate
the efficacy of any earlier training. Conclusion
Another tool for use in this phase is stakeholder This article touched on the history and inclusion of
analysis. Once again, make participant selections care- strategy, skills, and structures as important components
fully. Suppose that Bob and Joe are peers who started of change initiatives. A model incorporating these areas
at the company at the same time and are at the same that builds on the best practices of existing change
level organizationally. Bob is a huge supporter of the management methodologies contains seven phases: set
change, and Joe is resisting. Joe doesn't care what you up for success, create urgency, shape future, implement,
have to say; however, he may listen to and respect support shift, sustain momentum, and stabilize envi-
guidance from Bob. A stakeholder analysis provides ronment. By applying this expanded approach to your
an opportunity to leverage Bob as your ally. initiatives, the likelihood of successfully generating
lasting change increases substantially.
Sustain Momentum
The components of this phase include reinforcing
positive behaviors, celebrating successes, and using References
lessons learned. The goal here is to ensure that the K. Lewin, "Frontiers in Group Dynamics 1," Human Relations,
positive behaviors of embracing the change fully and June 1947, Vol. 1, pp. 5-41.
sincerely and producing the associated results/outcomes H. Bruch, P. Gerber, and V. Maier. "Strategic Change Decisions:
continue in the future. You can separate reinforcement Doing the Right Change Right," Joumal of Change Management,
approaches into three categories: social (praise), activity Vol. 5 (1), pp. 97-107.
(celebration), and tangible (reward), and apply them R. Gill, "Change Management or Change Leadership?" Journal
based on the size of the behavioral gap or degree of of Change Management, Vol. 3 (4), pp. 307-318.
change required. Visible celebrations demonstrate that J. M. Higgins, "The Eight 'S's of Successful Strategy Execution,"
leaders are serious about the new state and that the orga- Joumal of Change Management, Vol. 5 (1), pp. 3-13.
nization is on the correct path to achieving it. Taking the M.A. Roberto and L.C. Levesque, "The Art of Making Change Ini-
time to gather lessons learned from a change initiative tiatives Stick," MIT Sloan Management Review, Vol. 46 (4), pp. 53-60.
(or any project) helps the next initiative proceed more
effectively and efficiently. Lessons learned also offer a
great opportunity to demonstrate that taking risks Eric Carter is a change management and process
(sensible risks) is acceptable and will not be punished. improvement consultant. He works primarily with senior
executives who are transforming their organizations
Stabilize Environment with improvement methodologies such as Lean Six
Stabilize environment is the capstone phase of a Sigma—particularly in transactional and people
change initiative. In Lewin's terms, you are "refreezing" intensive industries. Carter can be reached by e-mail
the organization into the new state. The focus is on I at adonnelly1@comcast.net or by telephone at 860-575-3710.

www.asq.org 23

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