PROFESSIONAL CHANGE

MANAGEMENT
Acknowledgment
Preface
Table of Contents
INTRODUCTION
AN OVERVIEW OF CHANGE MANAGEMENT
"If you focus on results, you'll never change. If you focus on change, you'll get
results."
|ack Dxon
Change pro|ects fa more often from ack of effectve
change management than any other snge reason. Teams
that gnore change management cte ths as one of the
most mportant essons earned durng ther pro|ect.
Teams that use change management technques have:
Reduced turnover and the oss of vaued empoyee.
Acceerated the mpementaton of the change.
Reduced productvty oss and empoyee resstance.
What many teams ack, however, s a sod understandng
of what change management s and how to mpement
change management tactcs. The artce provdes an
overvew of change management and w gude you to
other resources that can hep your team manage change
effectvey.
WHAT IS CHANGE MANAGEMENT?
Change is vital, improvement the logical form of change."
|ames Cash Penney
Change management can be vewed from two perspectves
- from those mpementng the change and from the
recpents of change. Your vew of change management
vares dramatcay f you are the executve demandng the
change versus the front ne empoyee who may be unsure
why a change s even needed.
In many cases at the onset of a new change, nether the
executve nor the front-ne empoyee s knowedgeabe
about managng change. The executves want the change
to happen now; the empoyees are smpy dong ther |ob.
It s the pro|ect managers, consutants or members of the
pro|ect team that frst earn about the necessty for change
management. They are the frst to reaze the two
dmensons of change management: the top-down
managers perspectve and the bottom- up empoyees'
perspectve.
DEFINITION OF CHANGE MANAGEMENT
Change Management is the process of developing a
planned approach to change in an organisation. Typically
the objective is maximising the collective efforts of all
people involved in the change.
OR
It is a structured approach to transitioning individuals,
teams, and organizations from a current state to a desired
future state. The current definition of Change Management
includes both organizational change management
processes and individual change management models,
hich together are used to manage the people side of
change.
MOST USEFUL AND PRACTICAL DEFINITION OF
CHANGE MANAGEMENT
Today, the term change management takes on a varety
of meanngs. The most practca and usefu defnton s:
Change management is the process, tools and techni!ues
to manage the people"side of business change to achieve
the re!uired business outcome and to realize that business
change effectively ithin the social infrastructure of the
or#place.
Ths defnton aows practtoners to separate change
management as a practce area from busness
mprovement technques. So whether you are dong Sx
Sgma, BPR, TOM or some other technque to mprove
busness performance, change management can be vewed
as an essenta competency to overay and ntegrate wth
these methods.

EXPLANATION
In thnkng about what s meant by change management,
at east four basc thngs come to mnd:
1) The task of managng change
2) An area of professona practce
3) A body of knowedge
4) A contro mechansm
1) THE TASK OF MANAGING CHANGE
The frst and most obvous defnton of change
management s that the term refers to the task of
managng change. The obvous s not necessary
unambguous. Managng change s tsef a term that has at
east two meanngs.
One meanng of managng change refers to the ma#ing
of changes in a planned and managed or systematic
fashion. The am s to more effectvey mpement new
methods and systems n an ongong organzaton. The
changes to be managed e wthn and are controed by the
organzaton. (Perhaps the most famar nstance of ths
knd of change s the change contro aspect of
nformaton systems deveopment pro|ects.). However,
these nterna changes mght have been trggered by
events orgnatng outsde the organzaton, n what s
usuay termed the envronment. Hence, the second
meanng of managng change, namey, the response to
changes over hich the organization exercises little or no
control (e.g., egsaton, soca and potca upheava, the
actons of compettors, shftng economc tdes and
currents, and so on). Researchers and practtoners ake
typcay dstngush between a knee-|erk or reactve
response and an antcpatve or proactve response.
2) AN AREA OF PROFESSIONAL PRACTICE
The second defnton of change management s "an area
of professona practce."
There are dozens, f not hundreds, of ndependent
consutants who w qucky and proudy procam that they
are engaged n panned change, that they are change
agents, that they manage change for ther cents, and that
ther practces are change management practces. There
are numerous sma consutng frms whose prncpas
woud make these same statements about ther frms. And,
of course, most of the ma|or management consutng frms
have a change management practce area.
Some of these change management experts cam to hep
cents manage the changes they face - the changes
happenng to them. Others cam to hep cents make
changes. St others offer to hep by takng on the task of
managng changes that must be made. In amost a cases,
the process of change s treated separatey from the
specfcs of the stuaton. It s expertse n ths task of
managng the genera process of change that s ad cam
to by professona change agents.
3) A BODY OF KNOWLEDGE
Stemmng from the vew of change management as an
area of professona practce there arses yet a thrd
defnton of change management: the content or sub|ect
matter of change management. Ths conssts chefy of the
modes, methods and technques, toos, sks and other
forms of knowedge that go nto makng up any practce.
The content or sub|ect matter of change management s
drawn from psychoogy, socoogy, busness admnstraton,
economcs, ndustra engneerng, systems engneerng
and the study of human and organzatona behavor. For
many practtoners, these component bodes of knowedge
are nked and ntegrated by a set of concepts and
prncpes known as Genera Systems Theory (GST). It s
not cear whether ths area of professona practce shoud
be termed a professon, a dscpne, an art, a set of
technques or a technoogy. For now, suffce t to say that
there s a arge, reasonaby cohesve abet somewhat
ecectc body of knowedge underyng the practce and on
whch most practtoners woud agree - even f ther
appcaton of t does exhbt a hgh degree of varance.
4) A CONTROL MECHANISM
For many years now, Informaton Systems groups have
tred to ren n and otherwse rde herd on changes to
systems and the appcatons that run on them. For the
most part, ths s referred to as verson contro and most
peope n the workpace are famar wth t. In recent
years, systems peope have begun to refer to ths contro
mechansm as change management and "confguraton
management." Moreover, smar contro mechansms exst
n other areas. Chemca processng pants, for exampe,
are requred by OSHA to satsfy some exactng
requrements n the course of makng changes. These fa
under the headng of Management of Change or MOC.
To recaptuate, there are at east four basc defntons of
change management:
1. The tas# of managing change (from a reactve or a
proactve posture)
2. An area of professional practice (wth consderabe
varaton n competency and sk eves among
practtoners)
3. A body of #noledge (consstng of modes, methods,
technques, and other toos)
4. A control mechanism (consstng of requrements,
standards, processes and procedures).
5) CONTENT AND PROCESS
Organzatons are hghy specazed systems and there are
many dfferent schemes for groupng and cassfyng them.
Some are sad to be n the reta busness, others are n
manufacturng, and st others confne ther actvtes to
dstrbuton. Some are proft-orented and some are not for
proft. Some are n the pubc sector and some are n the
prvate sector. Some are members of the fnanca servces
ndustry, whch encompasses bankng, nsurance, and
brokerage houses. Others beong to the automobe
ndustry, where they can be cassfed as orgna
equpment manufacturers (OEM) or after-market provders.
Some beong to the heath care ndustry, as provders, as
nsureds or as nsurers. Many are reguated, some are not.
Some face stff competton, some do not. Some are
foregn-owned and some are foregn-based. Some are
corporatons, some are partnershps, and some are soe
propretorshps. Some are pubcy hed and some are
prvatey hed. Some have been around a ong tme and
some are newcomers. Some have been but up over the
years whe others have been peced together through
mergers and acqustons. No two are exacty ake.
The precedng paragraph ponts out that the probems
found n organzatons, especay the change probems,
have both content and a process dmenson. It s one thng,
for nstance, to ntroduce a new cams processng system
n a functonay organzed heath nsurer. It s qute
another to ntroduce a smar system n a heath nsurer
that s organzed aong product nes and market segments.
It s yet a dfferent thng atogether to ntroduce a system
of equa sze and sgnfcance n an educatona
estabshment that rees on a matrx structure. The
anguages spoken dffer. The vaues dffer. The cutures
dffer. And, at a detaed eve, the probems dffer.
However, the overa processes of change and change
management reman pretty much the same, and t s ths
fundamenta smarty of the change processes across
organzatons, ndustres, and structures that make change
management a task, a process, and an area of professona
practce.
WHY IS CHANGE MANAGEMENT A REUIRED
COMPETENCY FOR BUSINESS TODAY?
In hs best seng book $teardship, Peter Bock descrbes
the tradtona vaues that have been the center pece of
tradtona, patrarcha organzatons: contro, consstency
and predctabty. These vaues dctate that decson-
makng s at the top, eavng the executon and
mpementaton to the mdde and bottom ayers of an
organzaton.
Twenty-fve years ago, f you wanted somethng changed
as the CEO of a tradtona company, you smpy spoke the
words. The cuture and beef system of the organzaton
was more akn to a mtary structure. The predctabe
behavor n that stuaton was compance to the new
busness drecton. As a eader n that organzaton, your
contro was typcay not questoned and empoyees
understood what was expected of them. The vaues of
contro, consstency and predctabty created an
envronment where change was smpy a pan to
mpement or an ad|ustment to a mechanca system.
Athough hepfu, change management was not a requred
competency n ths envronment.
A quarter of a century has passed. Busness mprovement
ntatves - ncudng Edward Demngs teachngs post
Word-War II, the earest quaty crces from Toyota, Sx
Sgma from Motoroa, Tota Ouaty Management (TOM)
from AT&T and Ford, empowered teams, and many others
ntatves - came to the forefront. Busness eaders
embraced, f at east for some perod of tme, one or more
of these busness ntatves.
Over the course of these 25 years and these mprovement
strateges, we have mpressed new vaues and beef
systems on empoyees. The new vaues ncude
empowerment (make the rght decson for the customer),
accountabty (take ownershp and prde n your work), and
contnuous mprovement (ook for ways to mprove
everythng you do, everyday). A new cuture has evoved n
many of todays busnesses where a new generaton of
empoyees:
Take ownershp and responsbty for ther work
Have prde n workmanshp and ook to mprove ther
work processes
Fee empowered to make decsons that mprove
ther product and the eve of customer servce
So what s the probem? The evouton from the tradtona
vaues of contro, predctabty and consstency - vaues
that made change reatvey smpe to mpement - to the
new vaues focused on accountabty, ownershp and
empowerment have made the mpementaton of busness
change more dffcut. In many ways Peter Bocks
advocacy for ths shft has come true. Empoyees have
been taught to queston and anayze ther day-to-day
actvtes and are rewarded for dong so. Then why woud
we expect them not to queston and resst new change
ntatves?
The ne values of business today re!uire a different
approach to the ay businesses change. The response of
the employee has shifted from %yes, sir& to %hy are e
doing that& ' and the change leader must adapt.
In some cases of arge-scae busness process change n
the eary 1990s the resut was outrght faure because
busness eaders had not shfted ther actons to
accommodate the new vaues. A CEO n the od vaue
structure ony had to ssue the decree for change and t
happened. But when a CEO tres ths same approach today,
empoyees shout back Why? How does t mpact me?
If t snt broken, why are you tryng to fx t?
Research wth more than 320 pro|ects showed the prmary
reason for faure n ma|or change ntatves was ack of
change management. In other words, the nabty to
manage the peope sde of a busness change n the
presence of a new cuture and new vaues s a ma|or
contrbutor to faed busness changes.
HISTORY OF CHANGE MANAGEMENT
THE CONVERGENCE OF TWO FIELDS OF THOUGHT
To understand change management as we know t today,
you need to consder two convergng and predomnant
feds of thought: an engneer's approach to mprovng
busness performance and a psychoogst's approach to
managng the human-sde of change.
Frst, students of busness mprovement have been
earnng and practcng how to make changes to the
operatons of a busness as a mechanca system snce
Frederck Tayors work n the ate nneteenth century. Ths
mechanca system perspectve focuses on observabe,
measurabe busness eements that can be changed or
mproved, ncudng busness strategy, processes, systems,
organzatona structures and |ob roes.
From ths perspectve, a busness s ke a cock where each
of the mechanca peces can be changed or atered to
produce a predctabe and desrabe souton. The change
can be gradua as seen n contnuous process mprovement
methods such as TOM, or radca, as advocated n busness
process reengneerng that began wth the best seng
book, (eengineering the Corporation by Mchae Hammer
n the eary 1990s.
Hstorcay companes embracng ths mechanca
approach to busness mprovement typcay dd not
embrace change management concepts unt ther pro|ects
encountered resstance or faced serous probems durng
mpementaton. Even after ths reazaton, many
organzatons' approach to change management was ad
hoc and acked a sod framework for actvey managng
change through the process. The tendency from an
engneer's perspectve was to soate ths "peope" probem
and then emnate t or desgn a quck fx for ths perceved
obstace to ther mprovement ntatve.
The other sde of the story begns wth psychoogsts.
Concerned wth how humans react to ther envronment,
the fed of psychoogy has often focused on how an
ndvdua thnks and behaves n a partcuar stuaton.
Humans are often exposed to change, hence psychoogsts
study how humans react to change. Wth hs 1980
pubcaton of Transitions, Wam Brdges became a
predomnant thnker n the fed of human adaptaton to
change and hs eary text s frequenty cted n
Organzaton Deveopment books on change management.
However, ony once or twce n ths book does Brdges
reate hs theory to managng change n the workpace. It
was not unt ater that Brdges began to wrte a sgnfcant
body of work reated to hs theores of change and how
they reate to workpace change management.
The net resut of ths evouton s that two schoos of
thought have emerged. The tabe beow summares the
key dfferences and contrasts the two approaches n terms
of focus, busness practce, measures of success and
perspectve on change.

E!"#!$$% P&'()*+*"#&,
Focus
Processes, systems,
structure
Peope
Business
practices
BPR, TOM, ISO 9000,
Ouaty
Human resources,
OD
Starting point
Busness ssues or
opportuntes
Persona change,
empoyee resstance
(or potenta for
resstance)
Measure of
success
Busness
performance,
fnanca and
statstca metrcs
|ob satsfacton,
turnover,
productvty oss
Perspective
on change
Shoot the
straggers, carry the
wounded.
Hep ndvduas
make sense of what
the change means
to them.
Observers of busness changes n rea fe have reazed
that the extreme appcaton of ether of these two
approaches, n soaton, w be unsuccessfu. An
excusvey engneerng approach to busness ssues or
opportuntes resuts n effectve soutons that are sedom
adequatey mpemented, whe an excusvey
psychoogst approach resuts n a busness receptve to
new thngs wthout an apprecaton or understandng for
what must change for the busness to succeed.
Not a practtoners have traveed down these two
extremes. A few thought eaders n the change
management fed were advocatng a structured change
management process eary on. |eanenne LaMarsh was
actvey usng her organzatona change mode n the
1980's wth companes ke AT&T Be Laboratores and
ater wth Ford and Caterpar. She authored the book
Changing the )ay )e Change& n 1995 and recenty
ntroduced the Managed Change process.
In the book Managing at the $peed of Change, Dary
Conner begns wth a emphass on understandng the
psychoogy of change and then moves to a structured
change process. In the recent pubcaton by Ackerman and
Anderson, change management concepts are presented n
a combned process wth busness mprovement actvtes.
|ohn Kotter, n *eading Change, presents an 8-step mode
for eadng change ntatves.
Contrbutons from both the engneerng and psychoogy
feds are producng a convergence of thought that s
cruca for successfu desgn and mpementaton of
busness change. In other words, a busness must
constanty examne ts performance, strategy, processes
and systems to understand what changes need to be
made. Increasng externa and nterna factors have made
ths strategy essenta for survva. However, an
organzaton must aso understand the mpcatons of a
new busness change on ts empoyees gven ther cuture,
vaues, hstory and capacty for change. It s the front-ne
empoyees that utmatey execute on the new day-to-day
actvtes and make the new processes and systems come
to fe n the busness.
What does ths mean for the defnton and fed of change
management? Frst, that t s mportant to recognze that
both the engneerng and psychoogca aspects must be
consdered for successfu change. Second, s that busness
mprovement methodooges must ntegrate these two
dscpnes nto a comprehensve mode for change. Fnay,
that when you read or study change management
terature, be sure to dentfy how the term change
management s used so that you can effectvey appy that
work to your current body of knowedge.
CHANGE MANAGEMENT PERSPECTIVES
INDIVIDUAL CHANGE MANAGEMENT
+nderstanding ho one person
ma#es a change successfully
Organzatons don't change, #!-#.#-/0+& -*. No matter
how arge of a pro|ect you are takng on, the success of
that pro|ect utmatey es wth each empoyee dong ther
work dfferenty, mutped across a of the empoyees
mpacted by the change. Effectve change management
requres an understandng for and apprecaton of how one
person makes a change successfuy. Wthout an ndvdua
perspectve, we are eft wth actvtes but no dea of the
goa or outcome that we are tryng to acheve.
Indvdua change management s the management of
change from the perspectve of the empoyees. They are
the ones who utmatey must mpement the change. The
focus here s around the toos and technques to hep an
empoyee transton through the change process. The
prmary concerns are the coachng requred hepng
ndvduas understand ther roe and the decsons they
make n the change process. In ths arena, you w need to
provde toos that empoyees can use to navgate ther way
through the change.
ORGANI1ATIONAL CHANGE MANAGEMENT
+nderstanding hat tools e have to help
individuals ma#e changes successfully
Whe change happen one person at a tme, there are
processes and toos that can be used to factate ths
change. Toos ke communcaton and tranng are often
the ony actvtes when no structured approach s apped.
When there s an organzatona change management
perspectve, a process emerges for how to &(0+$ change
management actvtes and how to use the (*23+$,$ &$,
of toos avaabe for pro|ect eaders and busness
managers.
Organzatona change management s the management of
change from the perspectve of a manager or pro|ect team.
It s the perspectve of busness eadershp from the
top ookng down nto the organzaton. The focus s
around broad change management practces and sks that
w hep the organzaton understand, accept and support
the needed busness change. The prmary focus s around
change management strateges, communcaton pans and
tranng programs. The nvoved partes ncude pro|ect
team members, human resources and key busness eaders
that sponsor the change.
Organzatona change management provdes the
knowedge and sks to mpement a methodoogy and
toos for managng change throughout an organzaton
CRITICAL ELEMENTS FOR MANAGING CHANGE
Gven ths mode or framework for change management,
you can break down the requred eements to effectvey
manage change. You can aso ntate your research usng
books and resources (ncudng tranng) based on these
two perspectves of change management.
For *%"0!#40,#*!0+ ()0!"$ 20!0"$2$!,, you w need
to bud knowedge and abtes n the foowng areas
Change management team structures
Change management roes
Crtca barrers to mpementng change
Change management pannng and strateges
Managng empoyee resstance
Organzatona change management methodooges
Budng executve sponsorshp
Creatng communcaton pans
Creatng tranng and educatona programs
Incentve and recognton programs
For #!-#.#-/0+ ()0!"$ 20!0"$2$!,, you w need to
bud knowedge n the foowng areas:
Dagnosng resstance to change
Modes for managng ndvdua change
Decsons and consequences around supportng
change that face empoyees
Coachng toos and technques for hepng empoyees
navgate the change process
Actvtes and exercses for supervsors to use wth
ther empoyees to manage change
WHY ORGANI1ATIONAL CHANGE EFFORTS FAIL?
"It is alays the start that re!uires the greatest effort."
|ames Cash Penney
In hs book Force for Change: How Leadershp Dffers from
Management, Kotter sts the foowng as the man
reasons why change fas:
1. Aowng too much compacency
2. Fang to create a suffcenty powerfu gudng coaton
3. Underestmatng the power of vson
4. Under communcatng the vson by a factor of 10 (or
100 or even 1000)
5. Permttng obstaces to bock the new vson
6. Fang to create short-term wns
7. Decarng vctory too soon
8. Negectng to anchor changes frmy n the corporate
cuture
CRITICAL SUCCESS FACTORS FOR CHANGE
MANAGEMENT
"The #ey to hy things change is the #ey to everything."
|ames E. Burke
What s t that successfu organsatons have that makes
the dfference?
The foowng success factors seem to be consstent n
organsatons who radcay transform themseves:
1) STRONG LEADERSHIP
The CEO drves the change process, eadng the
organsaton to greater heghts. There s no substtute for a
strong eader. He sets the drecton, and the prortes.
2) CONSENSUS AT THE TOP
The CEO and frst reports agree whoeheartedy on the
need for dramatc change, and a work together n defnng
the vson and the resources requred for success.
Teamsmanshp s rea, not fegned. Contrbutons are
sncere, not potcsed.
3) A SHARED VISION
A we artcuated vson of where the organsaton w be n
three to fve years, expressed n specfc performance
outcomes, cascades throughout the organsaton. Every
empoyee has persona ob|ectves that te to the vson.
Each has a drect effect on the outcome, and a we-defned
persona stake n achevng the vson.
4) CONTINUOUS CATALYTIC ACTIVITY AT THE CEO
LEVEL
Executves rease they do not have the ob|ectvty, sks
and experence to enact radca change. Externa,
ob|ectve, apotca, and experenced cataysts and
consutants are used to hep navgate, fnd drecton, and
mpement pans.
5) TRUSTWORTHY COMMUNICATIONS TOP
DOWN5BOTTOM UP
The CEO and frst reports contnuousy, repettvey, and
consstenty meet wth a groups for two-way
communcatons. The CEO s hghy vsbe to a. Weeky or
b-weeky empoyee exchanges take pace. Fears are
addressed. Truth and honesty prevas.
6) THE RIGHT ATTITUDE
Hdden persona agendas n top and mdde management
are cast asde to make room for a ma|or coectve effort.
The theme s "get on board, or get out of the way." Those
who bock the effort are qucky dsposed.
7) LOTS OF GUTS
A wngness to take rsks and attack sacred cows to
acheve substanta resuts s prevaent. The focus s onger
term, repacng the monthy P&L as the drver for everyday
operatons. Probems are antcpated and drecty
addressed.
8) A COMPREHENSIVE AND SYSTEMATIC APPROACH
A comprehensve master pan s created that addresses
key ntegrated everage areas: cuture, reward systems,
strategy, process, structure, and staffng/sks. A everage
areas are nked and the pan s structured n manageabe
phases. The process s contnuous.
9) HIGH EMPLOYEE INVOLVEMENT
A empoyees partcpate heavy n achevng team-based
performance ob|ectves. Indvduasm s not ost n the
team envronment, but renforced. Probems are dagnosed
and soved through teams that run ther own operaton. A
partcpate n contnuousy mprovng persona, team, and
organsaton performance. The focus s on quaty, cost,
devery, and customer satsfacton.
1:) PERMANENTLY EMPOWERED EMPLOYEES
Decsons are drven downward to the team eve on a
permanent bass, not a speca pro|ect or temporary bass.
Layers of management that get n the way of fast decsons
are removed, and accountabty rests wth the team. Team
eaders provde drecton, prortes, and factaton to the
team. Teams evove to sef-management.
11) OWNERSHIP OF CHANGE BY A VAST MA;ORITY
OF EMPLOYEES
Hgh empoyee nvovement n probem sovng, fndng
soutons, and mpementng them creates authorshp and
ownershp of the process. Peer pressure makes thngs
happen. Empoyees are traned and earn new sks.
Motvaton s provded by the vson, strong eadershp,
team nvovement, and reward systems that refect
achevement of the vson.
12) FINANCIAL RESOURCES
Equpment and staffng s provded as part of the master
pan. Substanta nvestments are made to reduce non-
vaue added tme on the shop foor and n the offce.
Cost/beneft anayses dentfy the resuts that w be
acheved.
13) EXTENSIVE EDUCATION AND TRAINING AT ALL
LEVELS
Most empoyees, ncudng upper and mdde management,
have been condtoned over the years to be ndvduas and
stars. Our socety teaches ths. They smpy do not know
how to behave as team members shoud. Courses n
deang wth personaty dfferences, team budng, stress
management, confct management, and many others can
go a ong way n gettng peope to work cohesvey. In
addton, courses n process mappng, set-up reductons,
statstca process contro, etc., can provde the technques
for re-engneerng the processes.
14) COMMITMENT TO SEE IT THROUGH
Pans do not get deraed at the sgns of resstance or
dffcuty. Soutons to probems are found and
mpemented. If somethng does not work, somethng ese
s tred.
THEORIES OF CHANGE MANAGEMENT
1. Managers have to ook at change management
modes and |udge when change s needed and aso
adapt to changes of ther organzaton. Therefore,
change management s an essenta sk for the
modern manager.
2. However, one ()0!"$ 20!0"$2$!, ,)$*%' s
that rea and astng change cannot be acheved
wthout a radca change n the management tsef.
3. Managers have to ook at change management
modes and |udge when change s needed and aso
adapt to changes of ther organzaton. Therefore,
change management s an essenta sk for the
modern manager.
4. However, one ()0!"$ 20!0"$2$!, ,)$*%' s
that rea and astng change cannot be acheved
wthout a radca change n the management tsef.
FIVE BASIC PRINCIPLES FOR CHANGE MANAGEMENT
P%#!(#3+$ ONE
,ifferent people react differently to change
The foowng dagram represents a spectrum of change:
S,0<#+#,' = = = = = = = = = = = = = = = = C)0!"$
Dfferent peope have dfferent preferences for where they
ke to be on ths spectrum. Some peope ke to be at the
STABILITY end of the spectrum - they ke thngs to be the
way they have aways been. Other peope ke to be at the
CHANGE end of the spectrum - they are aways ookng for
somethng dfferent and new.
Probems arse when the ndvdua's preferences dffer
from the stuaton they fnd themseves n. That s, f:
a stabty-orented person fnds that crcumstances are
changng qute rapdy, or
a change-orented person fnds that everythng s the
same and there s nothng new
In these stuatons, the ndvduas nvoved can
experence:
strong dssatsfacton
stress
negatve atttudes towards ndvduas wth preferences
at the other end of the spectrum (e.g.: dstrust,
dske)
resstance (to change, or to the status quo)
ntense emotons
oss of ratona |udgment
Peope tend to resst, therefore, approaches on other parts
of the spectrum than where they themseves prefer to be.
P%#!(#3+$ TWO
-veryone has fundamental needs that have to be met
A famous psychoogst caed W Schutz dentfed three
basc needs that peope have n nterpersona reatons.
These basc needs are aso of fundamenta mportance n
peope's reacton to change:
The need for contro
The need for ncuson
The need for openness
Whst the need for these can vary between peope, n any
change process there s aways some degree of need for
contro over one's envronment/destny, some degree of
need to be ncuded n the process of formng the change
that s takng pace, and some degree of need for
managers/eaders to be open wth ther nformaton.
If a change program fas to meet the contro, ncuson and
openness needs of the ndvduas affected by t then that
program s key to encounter a range of negatve
reactons, rangng from ambvaence through resstance to
outrght opposton.
P%#!(#3+$ THREE
Change often involves a loss, and people go through the
.loss curve.
The reevance of the "oss curve" to a change management
program depends on the nature and extent of the oss. If
someone s promoted to a more senor poston, the 'oss'
of the former poston s rarey an ssue because t has
been repaced by somethng better. But f someone s
made redundant wth tte prospect of gettng a new |ob,
there are many osses (ncome, securty, workng
reatonshps) that can have a devastatng effect.
There are many varatons of the "oss curve". One s
known as "Sarah" - that s, the ndvdua experences (n
ths order):
S-hock
A-nger
R-e|ecton
A-cceptance
H-eang

The common factors amongst a "oss curves" are:
1. That there can be an nta perod where the change
does not snk n. For exampe, feengs may be kept
hgh by the ndvdua convncng themseves that the
change s not gong to happen.
2. That when the oss s reazed, the ndvdua hts a
deep ow. The depth of ths 'ow' s deepened f the
oss s unexpected.
3. That the perod of ad|ustment to the new stuaton
can be very uncomfortabe and take a ong tme. In
the case of bereavement, the perod of ad|ustment
can be as ong as two years.
P%#!(#3+$ FOUR
-xpectations need to be managed realistically
The reatonshp between expectatons and reaty s very
mportant. You can see ths n customer reatons - f a
supper fas to meet expectatons then the customer s
unhappy; f the supper exceeds expectatons then the
customer s happy.
To some extent the same prncpe appes to staff and
change. If ther expectatons are not met, they are
unhappy. If ther expectatons are exceeded, they are
happy.
Sometmes, enforced change (e.g. redundances) nevtaby
nvoves the faure to meet expectatons: there had been
an expectaton of |ob securty, whch has now been taken
away.
What eaders/managers have to do, however, s make sure
they don't pour petro on the fre by makng promses that
can not or w not be kept. Expectatons have to be set at a
reastc eve, and then exceeded (e.g. n terms of the
degree of outpacement support that w be provded).
P%#!(#3+$ FIVE
/ears have to be dealt ith
In tmes of sgnfcant change ratona thought goes out of
the wndow. Ths means that peope often fear the worst -
n fact, they fear far more than the worst, because ther
subconscous mnds suddeny become ogca and see
rratona consequences.
Our company s reducng staff, whch means...
They w make peope redundant, and...
I' be the frst to be kcked out, and...
I' have no hope of gettng another |ob, and...
I won't be abe to pay the mortgage, so...
I' ose the house, so...
My famy won't have anywhere to ve, and...
My wfe won't be abe to cope, so...
She' eave me, and...
I' be so dsgraced the chdren won't speak to me
ever agan.
Such fears need to be addressed, e.g. by hepng peope to
recognze that most peope who are made redundant fnd a
better |ob wth better pay and have a huge ump sum n
ther pocket! Or, where approprate, by expanng how the
reductons n staff numbers are gong to be acheved (by
natura wastage or vountary redundancy).
PROSCI>S 3 PHASE PROCESS
Prosc's organzatona change management process was
frst ntroduced n 2002 after the thrd change
management benchmarkng study was conducted. Prosc
fet that wth the thrd study, there was a strong enough
research bass for the process beow. Ths process s but
n &,$3& that a pro|ect team can compete for a partcuar
change or ntatve they are supportng.
Phase 1 - Preparing for change (Preparation, assessment and
strategy development)
Phase 2 - Managing change (Detailed planning and change
management implementation)
Phase 3 - Reinforcing change (Data gathering, corrective
action and recognition)
;OHN KOTTER
|ohn Kotter, the Konosuke Matsushta Professor of
Leadershp at the Harvard Busness Schoo, has deveoped
a mode for eadng change that offers a vauabe too to
pro|ect management professonas. Hs mode s a resut of
many years of experence n consutng wth hundreds of
organzatons. He observed the myrad dffcutes
assocated wth change efforts, dsted the common
themes and turned them around nto a prescrptve
framework.
KOTTER>S EIGHT STAGE CHANGE PROCESS
"0our success in life is based on your ability to change faster than your
competition, customers and business."
Mark Sanborn
1. ESTABLISHING A SENSE OF URGENCY
2. CREATING THE GUIDING COALITION
3. DEVELOPING A VISION AND STRATEGY
4. COMMUNICATING THE VISION
5. EMPOWERING BROAD-BASED ACTION
6. GENERATING SHORT-TERM WINS
7. CONSOLIDATING GAINS AND PRODUCING MORE CHANGE
8. ANCHORING NEW APPROACHES IN THE CULTURE
OTHER APPROACHES TO MANAGING CHANGE
Apprecatve Inqury, a coaboratve approach to
organzatona change, s party based on the
assumpton that change n a system s nstantaneous
('Change at the Speed of Imagnaton')
Scenaro Pannng: Scenaro pannng provdes a
patform for dong so by askng management and
empoyees to consder dfferent future market
possbtes n whch ther organzatons mght fnd
themseves.
Organze wth Chaos of Rowey and Roevens, who
descrbe Change as a process where certan events
need to be managed whereas others need to be
under managed, eft aone to sef-organze and
mprove the busness naturay.
Theory U of Otto Scharmer who descrbes a process
n whch change strateges are based on the
emergng future rather than on esson from the past.
The Souton focused bref therapy approach to
change, deveoped to assst ndvduas, and s
equay usefu for organzatons.
The Cosework theory of nterventon says change s
drven by the champons, be they nterna pro|ect
teams or consutants, workng aongsde the devery
team, ndvduas and management n the paces
where the work gets done. Champons shoud get
nvoved rather than nstruct and brng practca and
mpementabe deas.
K?<+$%=R*&&
Some change theores are based on dervatves of the
Kber-Ross mode from Ezabeth Kber-Ross's book, "On
Death and Dyng." The stages of Kber-Ross's mode
descrbe the persona and emotona states that a person
typcay encounters when deang wth oss of a oved one.
Dervatves of her mode apped n other settngs such as
the workpace show that smar emotona states are
encountered as ndvduas are confronted wth change.
SCOPE OF CHANGE MANAGEMENT
The purpose of defnng these change management areas
s to ensure that there s a common understandng among
readers. Toos or components of change management
ncude:
Change management process
Readness assessments
Communcaton and communcaton pannng
Coachng and manager tranng for change
management
Tranng and empoyee tranng deveopment
Sponsor actvtes and sponsor roadmaps
Resstance management
Data coecton, feedback anayss and correctve
acton
Ceebratng and recognzng success
CHANGE MANAGEMENT PROCESS
The change management process s the sequence of steps
or actvtes that a change management team or pro|ect
eader woud foow to appy change management to a
pro|ect or change.
It s mportant to note what change management s and
what change management s not, as defned by the
ma|orty of research partcpants.
Change management s not a stand-aone process for
desgnng a busness souton.
Change management is the processes, tools and
techni!ues for managing the people"side of change.
Change management s not a process mprovement
method.
Change management is a method for reducing and
managing resistance to change hen implementing
process, technology or organizational change.
Change management s not a stand-aone technque for
mprovng organzatona performance.
Change management is a necessary component for any
organizational performance improvement process to
succeed, including programs li#e1 $ix $igma, 2usiness
3rocess (eengineering, Total 4uality Management,
5rganizational ,evelopment, (estructuring and continuous
process improvement.
Change management is about managing change to realize
business results.
READINESS ASSESSMENTS
Assessments are toos used by a change management
team or pro|ect eader to assess the organzaton's
readness to change. Readness assessments can ncude
organzatona assessments, cuture and hstory
assessments, empoyee assessments, sponsor
assessments and change assessments. Each too provdes
the pro|ect team wth nsghts nto the chaenges and
opportuntes they may face durng the change process.
Assess the scope of the change, ncudng: How bg s
ths change? How many peope are affected? Is t a
gradua or radca change?
Assess the readness of the organzaton mpacted by
the change, ncudng: What s the vaue- system and
background of the mpacted groups? How much
change s aready gong on? What type of resstance
can be expected?
Assess the strengths of your change management
team.
Assess the change sponsors and take the frst steps
to enabe them to effectvey ead the change
process.

COMMUNICATION AND COMMUNICATION PLANNING
Many managers assume that f they communcate ceary
wth ther empoyees, ther |ob s done. However, there are
many reasons why empoyees may not hear or understand
what ther managers are sayng the frst tme around. In
fact, you may have heard that messages need to be
repeated 6 to 7 tmes before they are cemented nto the
mnds of empoyees. That s because each empoyees
readness to hear depends on many factors. Effectve
communcators carefuy consder three components: the
audence, what s sad and when t s sad.
For exampe, the frst step n managng change s budng
awareness around the need for change and creatng a
desre among empoyees. Therefore, nta
communcatons are typcay desgned to create
awareness around the busness reasons for change and the
rsk of not changng. Lkewse, at each step n the process,
communcatons shoud be desgned to share the rght
messages at the rght tme.
Communcaton pannng, therefore, begns wth a carefu
anayss of the audences, key messages and the tmng for
those messages. The change management team or pro|ect
eaders must desgn a communcaton pan that addresses
the needs of front-ne empoyees, supervsors and
executves. Each audence has partcuar needs for
nformaton based on ther roe n the mpementaton of
the change.
COACHING AND MANAGER TRAINING FOR CHANGE
MANAGEMENT
Supervsors w pay a key roe n managng change.
Utmatey, the drect supervsor has more nfuence over
an empoyees motvaton to change than any other person
at work. Unfortunatey, supervsors as a group can be the
most dffcut to convnce of the need for change and can
be a source of resstance. It s vta for the change
management team and executve sponsors to gan the
support of supervsors and to bud change eadershp.
Indvdua change management actvtes shoud be used to
hep these supervsors through the change process.
Once managers and supervsors are on board, the change
management team must prepare a coachng strategy.
They w need to provde tranng for supervsors ncudng
how to use ndvdua change management toos wth ther
empoyees.
TRAINING AND TRAINING DEVELOPMENT
Tranng s the cornerstone for budng knowedge about
the change and the requred sks. Pro|ect team members
w deveop tranng requrements based on the sks,
knowedge and behavors necessary to mpement the
change. These tranng requrements w be the startng
pont for the tranng group or the pro|ect team to deveop
tranng programs.
SPONSOR ACTIVITIES AND SPONSOR ROADMAPS
Busness eaders and executves pay a crtca sponsor roe
n change management. The change management team
must deveop a pan for sponsor actvtes and hep key
busness eaders carry out these pans. Sponsorshp shoud
be vewed as the most mportant success factor. Avod
confusng the noton of sponsorshp wth support. The CEO
of the company may support your pro|ect, but that s not
the same as sponsorng your ntatve.
Sponsorshp nvoves actve and vsbe partcpaton by
senor busness eaders throughout the process.
Unfortunatey many executves do not know what ths
sponsorshp ooks ke. A change agent's or pro|ect eader's
roe ncudes hepng senor executves do the rght thngs
to sponsor the pro|ect.
RESISTANCE MANAGEMENT
Resstance from empoyees and managers s norma.
Persstent resstance, however, can threaten a pro|ect. The
change management team needs to dentfy, understand
and manage resstance throughout the organzaton.
Resstance management s the processes and toos used
by managers and executves wth the support of the
pro|ect team to manage empoyee resstance.
DATA COLLECTION@ FEEDBACK ANALYSIS AND
CORRECTIVE ACTION
Empoyee nvovement s a necessary and ntegra part of
managng change. Managng change s not a one way
street. Feedback from empoyees s a key eement of the
change management process. Anayss and correctve
acton based on ths feedback provdes a robust cyce for
mpementng change.
CELEBRATING AND RECOGNI1ING SUCCESS
Eary successes and ong-term wns must be recognzed
and ceebrated. Indvdua and group recognton s aso a
necessary component of change management n order to
cement and renforce the change n the organzaton.
The fna step n the change management process s the
after-acton revew. It s at ths pont that you can stand
back from the entre program, evauate successes and
faures, and dentfy process changes for the next pro|ect.
Ths s part of the ongong, contnuous mprovement of
change management for your organzaton and utmatey
eads to change competency.
IMPORTANCE OF CHANGE MANAGEMENT
Change management pays an mportant roe n any
organzaton snce the task of managng change s not an
easy one. When we say managng change we mean to say
that makng changes n a panned and systemc fashon.
Wth reference to the IT pro|ects we can say the change n
the versons of a pro|ect and managng these versons
propery. Changes n the organzaton or a pro|ect can be
ntated from wthn the organzaton or externay. For
exampe a product that s popuar among the customers
may undergo a change n desgn based on the trggerng
factor ke a compettve product from some other
manufacturer. Ths s an exampe of externa factor that
trggers a change wthn the organzaton. How the
organzaton responds to these changes s what that s
more concerned. Managng these changes come under
change management. Reactve and proactve responses to
these changes are possbe from an organzaton.
MANAGEMENTAS ROLE IN CHANGE MANAGEMENT
"*eadership should be born out of the understanding of the needs of those
ho'll be affected by it."
Maran Anderson
Management's frst responsbty s to detect trends n the
macro envronment so as to be abe to dentfy changes
and ntate programs. It s aso mportant to estmate what
mpact a change w key have on empoyee behavour
patterns, work processes, technoogca requrements, and
motvaton.
Management must assess what empoyee reactons w be
and craft a change programme that w provde support as
workers go through the process of acceptng change.
The Change Management programme must then be
mpemented, dssemnated throughout the organsaton,
montored for effectveness, and ad|usted where
necessary. In genera terms, a change programme shoud:
Descrbe the change process to a peope nvoved
and expan the reasons why the changes are
occurrng. The nformaton shoud be compete,
unbased, reabe, transparent, and tmey.

Be desgned to effectvey mpement the change
whe beng agned wth organsatona ob|ectves,
macro envronmenta trends, and empoyee
perceptons and feengs.
Provde support to empoyees as they dea wth the
change, and wherever possbe nvove the
empoyees drecty n the change process tsef.
ROLES IN CHANGE MANAGEMENT
Change management cannot be done by one person sitting
alone in his or her office.
Drvng successfu change requres a system of actors a
movng n unson to hep empoyees to understand why the
change s happenng, get them board wth the change and
utmatey ensure that they adopt the changes requred n
ther day-to-day work. It s not necessary easy to get a of
the change management peces movng; but by better
understandng the roes that support effectve change
management, you and your pro|ects w be more
successfu.
There are fve roes reated to change management:
Change management resource/team
Executves and senor managers
Mdde managers and supervsors
Pro|ect team
Pro|ect support functons
Learn why each roe s mportant and what s requred of
the roe n tmes of change. Let concudes wth some
observatons on the "$23+*'$$=B0(#!"" roes n change
management and the "$!0<+#!"" roes n change
management.
CHANGE MANAGEMENT RESOURCE5TEAM
WHY THE ROLE IS IMPORTANTC
Havng dedcated resources for change management
was on the st of overa greatest contrbutors to
success.
There s a growng body of data that shows a
correaton between the success of a change
ntatve and how we the peope sde was managed.
Wthout dedcated resources, change management
actvtes w not be competed. Unfortunatey, when
budgets and schedues are squeezed, change
management s pushed to the bottom of the prorty
st f there are not dedcated resources.
WHAT THE ROLE REUIRESC
1. A33+' 0 &,%/(,/%$- ()0!"$ 20!0"$2$!,
2$,)*-*+*"' - nstead of operatng n an ad hoc
manner, approach change management wth purpose and
ntent.
2. F*%2/+0,$ &,%0,$"' - evauate how bg the change s
and who w be mpacted to deveop a customzed
strategy
3. D$.$+*3 3+0!& - based on the strategy work, create a
customzed set of pans for movng peope forward -
ncudng a communcaton pan, a sponsor roadmap, a
coachng pan, a tranng pan and a resstance
management pan.
4. S/33*%, *,)$% D-*$%&> - the change management
resource s the coach and the go-to person for the other
roes descrbed beow.
EXECUTIVES AND SENIOR MANAGERS
WHY THE ROLE IS IMPORTANTC
The actve and vsbe partcpaton of the senor eader
was cted as the #1 contrbutor to success. Bottom ne -
ther roe s cruca to success.
Empoyees want to see and hear the executve's
commtment to the change. The authorty they provde
carres over to other change management actors.
Effectve sponsorshp s a predctor of success or faure
on the pro|ect.
WHAT THE ROLE REUIRESC
1. P0%,#(#30,$ 0(,#.$+' 0!- .#&#<+' ,)%*/")*/, ,)$
3%*E$(, - there are three key words here: actve, vsbe
and throughout - sponsors must be present and seen by
empoyees
2. B/#+- 0 (*0+#,#*! *B &3*!&*%&)#3 0!- 20!0"$
%$&#&,0!($ - the sponsorshp coaton descrbes the
group of managers and eaders who w take the change
back to ther department, dvson, workgroup, etc - the
prmary sponsor must bud and mantan a heathy
coaton
3. C*22/!#(0,$ -#%$(,+' F#,) $23+*'$$& - empoyees
want to hear the busness reasons for the change from
someone at the top
MIDDLE MANAGERS AND SUPERVISORS
WHY THE ROLE IS IMPORTANTC
Managers and supervsors are cose to the acton - t s
ther teams who must change how they do ther |obs for
the change to be successfu.
In any organzaton there are two types of change
constanty happenng: 1) top-down ntatves aunched by
senor eaders (macro-changes) and 2) responses to day
demands from customers and suppers (mcro-changes).
Managers and supervsors support ther empoyees
through both types of changes.
The atttude and actons of a manager w show up n hs
or her peope - whether the atttude s one of support or
one of opposton.
WHAT THE ROLE REUIRESC
These fve roes of managers and supervsors durng change are:
1. C*22/!#(0,*% - empoyees prefer to hear messages
about how the change drecty mpacts them and ther
team from the person they report to
2. A-.*(0,$ - f the manager opposes the change,
chances are that hs or her peope w as we - n many
cases, the opposte s aso true
3. C*0() - hepng empoyees through ther own
persona transtons s the essence of change coachng by
mdde managers and supervsors
4. L#0#&*! - the roe of ason nvoves nteractng
wth the pro|ect team, takng drecton and provdng
feedback
5. R$&#&,0!($ 20!0"$% - research shows that the best
nterventon to mtgate resstance comes from the
empoyee's mmedate supervsor.
PRO;ECT TEAM
WHY THE ROLE IS IMPORTANTC
The pro|ect team s tasked wth managng the technca
sde of the change. In the end, they are the peope who
desgn how thngs w be done dfferenty than they are
today.
Wthout drecton and management, the technca sde of
the pro|ect w not move forward.
The pro|ect team aso pays a roe n ensurng that change
management s part of the pro|ect - by provdng the
approprate resources (budget and personne) and tme.
Change management w be most effectve when t s
pued n at the aunch of the pro|ect.
WHAT THE ROLE REUIRESC
1. D$&#"! ,)$ 0(,/0+ ()0!"$ - create the souton that
utmatey mpacts how peope do ther |obs
2. M0!0"$ ,)$ D,$()!#(0+ &#-$> - wth toos ke the
charter, busness case, schedue, resources, work
breakdown structure, budget, etc.
3. E!"0"$ F#,) CM ,$025%$&*/%($ - work wth the change
management resource or team to ensure that the
technca-sde and the peope-sde of the change progress
n unson, provde tmey pro|ect nformaton
4. I!,$"%0,$ CM 3+0!& #!,* 3%*E$(, 3+0! - begn change
management at the start of the pro|ect and weave the
change management strategy and pans nto the
technca-sde pans to create one seamess pro|ect pan
PRO;ECT SUPPORT FUNCTIONS
WHY THE ROLE IS IMPORTANTC
Pro|ect support functons brng expertse n a partcuar
area - these groups ncude: Human Resources staff,
Organzaton Deveopment staff, Tranng specasts,
Communcaton specasts, souton specfc Sub|ect
Matter Experts, etc.
In some cases, one of these pro|ect support functons
mght operate as the change management team or
resource.
WHAT THE ROLE REUIRESC
1. EG3$%#$!($ 0!- $G3$%,#&$ - pro|ect support functons
brng experence on past changes that can be apped to
the current change
2. K!*F+$-"$ - each of these groups have specazed
knowedge that can hep the pro|ect team and the change
management resource or team
3. T**+& - each of the areas brngs specfc toos that
support change management actvtes - |ust be sure the
toos agn wth change management best practces.
A FINAL OBSERVATION ON TWO DIFFERENT ROLES
In the sectons above, we outned the key roes of the
dfferent actors nvoved n makng changes successfu n
any organzaton. It s nterestng to note that n a of the
roes presented n the rght hand coumn, two of the roes
have drect contact wth front-ne empoyees mpacted by
the change whe three of the roes do more of ther work
behnd the scenes.
EMPLOYEE=FACING ROLES
One-to-one nteractons
One-to-many nteractons

Why are the empoyee-facng roes?
Because these are the people that employees want
to hear from!
ENABLING ROLES
Create and mpement the pans that are executed
by the empoyee-facng roes wthn the busness

Why are these !*, empoyee-facng roes?
Because employees don't know who they are
and don't really care what they have to say!
IMPLICATIONS OF EMPLOYEE=FACING AND ENABLING
ROLES
Ths s one of the most mportant takeaways from the
dscusson about roes. Change managers n organzatons -
whether they are the pro|ect manager, an HR consutant,
an OD consutant or from a specast change management
group must utmatey work through others. They pay the
roe of enabers n most cases, creatng easy-to-mpement
pans and supportng the executves, senor eaders,
mdde managers and supervsors throughout the
organzaton.
CHANGE MANAGEMENT PROCESS5MODELS
T)$%$ 0%$ !/2$%*/& 2*-$+&53%*($&& *B ()0!"$
20!0"$2$!, &*2$ 2*-$+& 0%$ 0& B*++*F&H
UNFREE1E=CHANGE=REFREE1E
The process of change has been characterzed as havng
three basc stages: unfreezng, changng, and re-freezng.
Ths vew draws heavy on Kurt Lewns adopton of the
systems concept of homeostass or dynamc stabty.
What s usefu about ths framework s that t gves rse to
thnkng about a staged approach to changng thngs.
Lookng before you eap s usuay sound practce.
What s not usefu about ths framework s that t does not
aow for change efforts that begn wth the organzaton n
extrems (.e., aready unfrozen), nor does t aow for
organzatons faced wth the prospect of havng to hang
oose for extended perods of tme (.e., stayng
unfrozen).
In other words, the begnnng and endng pont of the
unfreeze-change-refreeze mode s stabty - whch, for
some peope and some organzatons, s a uxury. For
others, nterna stabty spes dsaster. A tortose on the
move can overtake even the fastest hare f that hare
stands st.
KIBLER=ROSS MODEL
The K?<+$%=R*&& 2*-$+@ frst ntroduced by Esabeth
Kber-Ross n her 1969 book "On Death and Dyng",
descrbes, n fve dscrete stages, a process by whch
peope aegedy dea wth gref and tragedy, especay
when dagnosed wth a termna ness or catastrophc oss.
The stages are known as the Fve Stages of Gref.
The stages are:
1. D$!#0+:
o Exampe - .I feel fine..; .This can't be
happening, not to me,.
2. A!"$%:
o Exampe - .)hy me6 It's not fair7.; .8o can
this happen to me7.; .)ho is to blame6.
3. B0%"0#!#!":
o Exampe - .9ust let me live to see my children
graduate..; .I'll do anything for a fe more
years..; .I ill give my life savings if....
4. D$3%$&&#*!:
o Exampe - .I'm so sad, hy bother ith
anything6.; .I'm going to die . . . )hat's the
point6.; .I miss my loved one, hy go on6.
5. A(($3,0!($:
o Exampe - .It's going to be o#ay..; .I can
handle it ith change.; .I can't fight it, I may
as ell prepare for it..
Kber-Ross orgnay apped these stages to peope
sufferng from termna ness, and ater to any form of
catastrophc persona oss (|ob, ncome, freedom). Ths
may aso ncude sgnfcant fe events such as the death
of a oved one, dvorce, drug addcton, or an nfertty
dagnoss. Kber-Ross aso camed these steps do not
necessary come n the order noted above, nor are a
steps experenced by a patents, though she stated a
person w aways experence at east two. Often, peope
w experence severa stages n a "roer coaster" effect -
swtchng between two or more stages, returnng to one or
more severa tmes before workng through t. Sgnfcanty,
peope experencng the stages shoud not force the
process. Don't rey on others sayng "you shoud be over
ths by now"; "you're takng too ong", or, "you haven't
wated ong enough". The gref process s hghy persona
and shoud not be rushed, or engthened, on the bass of
another's mposed tmeframe or opnon. One shoud
merey be aware that the stages w be worked through
and the utmate stage of "Acceptance" w be reached.
Those that experence probem workng through the stages
shoud consder professona gref counseng or support
groups.
The most common factor s when the person doesn't have
the capacty to change ther stuaton, at east not wthout
consderabe oss to themseves, thus a person who woud
go through these stages woud not need to contnue f they
found a way out of the stuaton: e.g., If a person osng
ther house was at the barganng stage but then somehow
found a way out of the stuaton, then they'd have no
reason to become depressed. So the 'stages of gref' coud
be nked to a ack of contro or abty, e.g., peope who
have ost mbs, peope on the bad end of an utmatum,
peope under threat, and so on.
PCI JPEOPLE CENTERED IMPLEMENTATION)
PCI s a change management methodoogy deveoped by
Changefrst, whch has been contnuousy mproved snce
the 1990s. It has been apped n the fed of peope change
management by organzatons and ther change agents n
over 35 countres around the word.
PCI descrbes the sx crtca success factors that must be
managed to bud commtment to change ntatves and
create behavor change.
1. S)0%$- C)0!"$ P/%3*&$ - create and share a
powerfu case for change n the organzaton.
2. EBB$(,#.$ C)0!"$ L$0-$%&)#3 - deveop strong
change eadershp for the ntatve.
3. P*F$%B/+ E!"0"$2$!, P%*($&&$& - bud and
dever pans to engage peope n the change.
4. C*22#,,$- L*(0+ S3*!&*%& - bud understandng
and commtment of mdde and front-ne managers.
5. S,%*!" P$%&*!0+ C*!!$(,#*! - create commtment
and behavor changng actons for front-ne peope.
6. S/&,0#!$- P$%&*!0+ P$%B*%20!($ - support
peope as they earn to adapt, managng ther
resstance senstvey and empathetcay.
ADKAR
The ADKAR mode for ndvdua change management was
deveoped by Prosc wth nput from more than 1000
organzatons from 59 countres. Ths mode descrbes fve
requred budng bocks for change to be reazed
successfuy on an ndvdua eve. The budng bocks of
the ADKAR Mode ncude:
1. AF0%$!$&& - of why the change s needed
2. D$&#%$ - to support and partcpate n the change
3. K!*F+$-"$ - of how to change
4. A<#+#,' - to mpement new sks and behavors
5. R$#!B*%($2$!, - to sustan the change
ADKAR descrbes successfu change at the ndvdua eve.
When an organzaton undertakes an ntatve, that change
ony happens when the empoyees who have to do ther
|obs dfferenty can say wth confdence, "I have the
Awareness, Desre, Knowedge, Abty and Renforcement
to make ths change happen."
Because t outnes the "*0+& *% */,(*2$& of successfu
change, ADKAR s an effectve too for:
Pannng change management actvtes
Dagnosng gaps
Deveopng correctve actons
Supportng managers and supervsors
DYNAMIC CONSERVATISM
Ths mode by Donad Schn expores the nherent nature
of organzatons to be conservatve and protect them from
constant change. Schn recognzes the ncreasng need,
due to the ncreasng pace of change for ths process to
become far more fexbe. Very eary on Schn recognzed
the need for what s now termed the 'earnng
organzaton'. These deas are further expanded on wthn
hs frame work of 'refecton-n-acton, the mappng of a
process by whch ths constant changes coud be coped
wth.
FORMULA FOR CHANGE
A Formua for Change was deveoped by Rchard Beckhard
and Davd Gecher and s sometmes referred to as
:leicher's /ormula. The Formua ustrates that the
combnaton of organzatona dssatsfacton, vson for the
future and the possbty of mmedate, tactca acton
must be stronger than the resstance wthn the
organzaton n order for meanngfu changes to occur.
D G V G F K R
Three factors must be present for meanngfu
organzatona change to take pace. These factors are:
D = Dssatsfacton wth how thngs are now;
V = Vson of what s possbe;
F = Frst, concrete steps that can be taken towards the
vson.
If the product of these three factors s greater than
R = Resstance, then change s possbe. Because of the
mutpcaton of D, V and F, f any one s absent or ow,
then the product w be ow and therefore not capabe of
overcomng the resstance.
To ensure a successfu change t s necessary to use
nfuence and strategc thnkng n order to create vson
and dentfy those cruca, eary steps towards t. In
addton, the organzaton must recognze and accept the
dssatsfacton that exsts by communcatng ndustry
trends, eadershp deas, best practce and compettve
anayss to dentfy the necessty for change.
Some documentaton aso refers to the resstance to
change as the cost of change. It s then subdvded nto the
economc cost of change (monetary cost) and the
psychoogca cost of change. What ths tres to
demonstrate s that even f the monetary cost of change s
ow, the change w st not occur shoud the psychoogca
resstance of empoyees be at a hgh eve and vce versa.
In ths case the formua for change s represented as:
D x V x F > C (e + p)
What ths aows managers to do s to soate the actua
probem areas of change and deveop unque strateges
specfcay desgned to resove the correct form of
resstance.
THE KOTTER EIGHT STAGE CHANGE PROCESS
1H ESTABLISHING A SENSE OF URGENCY
Examnng the market and compettve reates
Identfyng and dscussng crses, potenta crses, or
ma|or opportuntes.
2H CREATING THE GUIDING COALITION
Puttng together a group wth enough power to ead
the change.
Gettng the group to work together as a team.
3H DEVELOPING A VISION AND STRATEGY
Creatng a vson to hep drect the change effort.
Deveopng strateges for achevng that vson.
4H COMMUNICATING THE VISION
Usng every vehce possbe to communcate the
new vson and strateges.
Havng the gudng coaton roe mode the
behavour expected of empoyees.
5H EMPOWERING BROAD=BASED ACTION
Gettng rd of obstaces.
Changng systems or structures that undermne the
change vson.
Encouragng rsk takng and non-tradtona deas,
actvtes, and actons.
6H GENERATING SHORT=TERM WINS
Pannng for vsbe performance mprovements, or
"wns"
Creatng those wns.
Vsby recognsng and rewardng peope who made
the wns possbe.
7H CONSOLIDATING GAINS AND PRODUCING MORE CHANGE
Usng ncreased credbty to change systems,
structures, and poces that don't ft together and
don't ft the transformaton vson.
Hrng, promotng and deveopng peope who can
mpement the change vson.
Renvgoratng the process wth new pro|ects,
themes, and change agents.
8H ANCHORING NEW APPROACHES IN THE CULTURE
Creatng better performance through customer- and
productvty-orented behavour, more and better
eadershp, and more effectve management
Artcuatng the connectons between new behavours
and organsatona success.
Deveopng means to ensure eadershp deveopment
and successon
PROSCI>S 3 PHASE PROCESS
Prosc's organzatona change management process was
frst ntroduced n 2002 after the thrd change
management benchmarkng study was conducted. Prosc
fet that wth the thrd study, there was a strong enough
research bass for the process beow. Ths process s but
n &,$3& that a pro|ect team can compete for a partcuar
change or ntatve they are supportng
PHASE 1 = PREPARING FOR CHANGE
The frst phase n Prosc's methodoogy s amed at
"$,,#!" %$0-'. It answers the queston: "how much
change management s needed for ths specfc pro|ect?"
The frst phase provdes the stuatona awareness that s
crtca for effectve change management.
OUTPUTS OF PHASE 1C
Change characterstcs profe
Organzatona attrbutes profe
Change management strategy
Change management team structure
Sponsor assessment, structure and roes
PHASE 2 = MANAGING CHANGE
The second phase of Prosc's process s focused on creatng
the 3+0!& that are ntegrated nto the pro|ect actvtes -
what peope typcay thnk of when they tak about change
management. Based on Prosc's research, there are fve
pans that shoud be created to hep ndvduas move
through the ADKAR Mode.
OUTPUTS OF PHASE 2C
Communcaton pan
Sponsor roadmap
Tranng pan
Coachng pan
Resstance management pan
PHASE 3 = REINFORCING CHANGE
Equay crtca but most often overooked, the thrd phase
of Prosc's process heps pro|ect teams create specfc
acton pans for ensurng that the change s &/&,0#!$-. In
ths phase, pro|ect teams deveop measures and
mechansms to see f the change has taken hod, to the see
f empoyees are actuay dong ther |obs the new way and
to ceebrate success.
OUTPUTS OF PHASE 3C
Renforcement mechansms
Compance audt reports
Correctve acton pans
Indvdua and group recognton approaches
Success ceebratons
After acton revew
The nkage between ndvdua change management and
organzatona change management s the key - and s
what sets Prosc's approach apart from other change
management methodooges. There are numerous modes
avaabe that address ndvdua change. There are aso
numerous modes avaabe that gve gudance and
structure to pro|ect actvtes for change management
resources.
The difference with Prosci's methodology is that it
integrates individual change management and
organizational change management to ensure the
achievement of business results.
The mage beow shows the connecton between the
change management toos deveoped n the organzatona
change management process and the phases of ndvdua
change descrbed by the ADKAR mode. Ths pcture s the
essence of effectve change management and s the core
of Prosc's change management methodoogy.
C*!!$(,#!" *%"0!#40,#*!0+ 0!- #!-#.#-/0+ ()0!"$ 20!0"$2$!,
THE CHANGE PROCESS AS PROBLEM SOLVING
AND PROBLEM FINDING
A very usefu framework for thnkng about the change
process s probem sovng. Managng change s seen as a
matter of movng from one state to another, specfcay,
from the probem state to the soved state. Dagnoss or
probem anayss s generay acknowedged as essenta.
Goas are set and acheved at varous eves and n varous
areas or functons. Ends and means are dscussed and
reated to one another. Carefu pannng s accompaned by
efforts to obtan buy-n, support and commtment. The net
effect s a transton from one state to another n a
panned, ordery fashon. Ths s the panned change
mode.
The word probem carres wth t connotatons that some
peope prefer to avod. They choose nstead to use the
word opportunty. For such peope, a probem s seen as
a bad stuaton, one that shoudnt have been aowed to
happen n the frst pace, and for whch someone s key to
be punshed - f the guty party (or a sutabe scapegoat)
can be dentfed. For the purposes of ths paper, we w
set asde any cutura or persona preferences regardng
the use of probem or opportunty. From a ratona,
anaytca perspectve, a probem s nothng more than a
stuaton requrng acton but n whch the requred acton
s not known. Hence, there s a requrement to search for a
souton, a course of acton that w ead to the soved
state. Ths search actvty s known as probem sovng.
From the precedng dscusson, t foows that probem
fndng s the search for stuatons requrng acton.
Whether we choose to ca these stuatons probems
(because they are troubesome or spe bad news), or
whether we choose to ca them opportuntes (ether for
reasons of potca senstvty or because the tme s rpe to
expot a stuaton) s mmatera. In both cases, the
practca matter s one of dentfyng and settng on a
course of acton that w brng about some desred and
predetermned change n the stuaton.
THE CHANGE PROBLEM
At the heart of change management e the change
probem, that s, some future state to be reazed, some
current state to be eft behnd, and some structured,
organzed process for gettng from the one to the other.
The change probem mght be arge or sma n scope and
scae, and t mght focus on ndvduas or groups, on one
or more dvsons or departments, the entre organzaton,
or one or on more aspects of the organzatons
envronment.
At a conceptua eve, the change probem s a matter of
movng from one state (A) to another state (a). Movng
from A to A s typcay accompshed as a resut of settng
up and achevng three types of goas: transform, reduce,
and apply. Transform goas are concerned wth dentfyng
dfferences between the two states. Reduce goas are
concerned wth determnng ways of emnatng these
dfferences. Appy goas are concerned wth puttng nto
pay operators that actuay effect the emnaton of these
dfferences (see Newe & Smon).
As the precedng goa types suggest, the anayss of a
change probem w at varous tmes focus on defnng the
outcomes of the change effort, on dentfyng the changes
necessary to produce these outcomes, and on fndng and
mpementng ways and means of makng the requred
changes. In smper terms, the change probem can be
treated as smaer probems havng to do wth the how,
what, and why of change.
CHANGE AS LHOWM PROBLEM
The change probem s often expressed, at east ntay, n
the form of a how queston. How do we get peope to be
more open, to assume more responsbty, to be more
creatve? How do we ntroduce sef-managed teams n
Department W? How do we change over from System X to
System Y n Dvson Z? How do we move from a
manframe-centered computng envronment to one that
accommodates and ntegrates PCs? How do we get ths
organzaton to be more nnovatve, compettve, or
productve? How do we rase more effectve barrers to
market entry by our compettors? How mght we more
tghty bnd our suppers to us? How do we reduce cyce
tmes? In short, the nta formuaton of a change probem
s means-centered, wth the goa state more or ess
mped. There s a reason why the nta statement of a
probem s so often means centered and we w touch on t
ater. For now, ets examne the other two ways n whch
the probem mght be formuated - as what or as why
questons.
CHANGE AS A LWHATM PROBLEM
As was ponted out n the precedng secton, to frame the
change effort n the form of how questons s to focus the
effort on means. Dagnoss s assumed or not performed at
a. Consequenty, the ends sought are not dscussed. Ths
mght or mght not be probematc. To focus on ends
requres the posng of what questons. What are we
tryng to accompsh? What changes are necessary? What
ndcators w sgna success? What standards appy? What
measures of performance are we tryng to affect?
CHANGE AS A LWHYM PROBLEM
Ends and means are reatve notons, not absoutes; that s,
somethng s an end or a means ony n reaton to
somethng ese. Thus, chans and networks of ends-means
reatonshps often have to be traced out before one fnds
the true ends of a change effort. In ths regard why
questons are provng extremey usefu?
Consder the foowng hypothetca daogue wth yoursef
as an ustraton of tracng out ends-means reatonshps.
1. Why do peope need to be more creatve?
2. I te you why! Because we have to change the
way we do thngs and we need deas about how to
do that.
3. Why do we have to change the way we do thngs?
4. Because they cost too much and take too ong.
5. Why do they cost too much?
6. Because we pay hgher wages than any of our
compettors.
7. Why do we pay hgher wages than our compettors?
8. Because our productvty used to be hgher, too, but
now ts not.
9. Eureka! The true am s to mprove productvty!
10. No t snt; keep gong.
11. Why does productvty need to be mproved?
12. To ncrease profts.
13. Why do profts need to be ncreased?
14. To mprove earnngs per share.
15. Why do earnngs per share need to be mproved?
16. To attract addtona capta.
17. Why s addtona capta needed?
18. We need to fund research amed at deveopng the
next generaton of products.
19. Why do we need a new generaton of products?
20. Because our compettors are rong them out faster
than we are and gobbng up market share.
21. Oh, so thats why we need to reduce cyce tmes.
22. Hmm. Why do thngs take so ong?
To ask why questons are to get at the utmate purposes
of functons and to open the door to fndng new and better
ways of performng them. Why do we do what we do? Why
do we do t the way we do t? Askng why questons aso
gets at the utmate purposes of peope, but thats a
dfferent matter atogether, a potca matter, and we
not go nto n ths paper.

CHANGE MANAGEMENT STRATEGIES
WHY YOU NEED A CHANGE MANAGEMENT STRATEGY
A "one-sze-fts-a" approach s not effectve for change
management. Thnk about these changes:
Acqurng a company of near equa sze
Gettng suppers to use a new web-based form and
process
Reocatng offce spaces wthn an exstng budng
Impementng an Enterprse Resource Pannng
souton
Reorentng around processes nstead of functons
Reeasng a new product
These are a dstncty dfferent changes, but $0()
%$N/#%$& ()0!"$ 20!0"$2$!, ,* <$ &/(($&&B/+. Each
mpacts peope and how they do ther |ob. Each can suffer
from sower adopton and ower utzaton. Each has rsks
assocated wth peope not becomng engaged or resstng
the change.
Whe each of the ntatves needs change management to
be successfu, the rght amount and approach for change
management w be dfferent. The ()0!"$ 20!0"$2$!,
&,%0,$"' defnes the approach needed to manage change
gven the unque stuaton of the pro|ect or ntatve.
C)0!"$ M0!0"$2$!, S,%0,$"' $+$2$!,&
S#,/0,#*!0+ 0F0%$!$&& - understand the
change and who s mpacted
S/33*%,#!" &,%/(,/%$& - team and sponsor
structures
S,%0,$"' 0!0+'&#& - rsks, resstance and
speca tactcs
WHAT GOES INTO THE CHANGE MANAGEMENT
STRATEGY
SITUATIONAL AWARENESSC
CHANGE CHARACTERISTICS - Begn by understandng
the change that s beng ntroduced. Changes can be
formazed pro|ects, strategc ntatves or even sma
ad|ustments to how the organzaton operates.
Understandng the characterstcs of the change
requres you to answer questons ke: What s the
&(*3$ of the change? How 20!' peope w be
mpacted? W)* s beng mpacted? Are peope beng
mpacted the &02$ or are they experencng the
change -#BB$%$!,+'? W)0, s beng changed -
processes, systems, |ob roes, etc? What s the
,#2$B%02$ for the change?
ORGANI1ATIONAL ATTRIBUTES - Next, work to
understand the peope and groups beng mpacted
by the change. The organzatona attrbutes are
reated to the )#&,*%' and (/+,/%$ n the
organzaton and descrbe the backdrop aganst
whch ths partcuar change s beng ntroduced.
What s the perceved !$$- for ths change among
empoyees and managers? How have 30&, changes
been managed? Is there a shared .#&#*! for the
organzaton? How 2/() change s gong on rght
now?
IMPACTED GROUPS - The fna step n budng the
stuatona awareness s deveopng a map of F)* n
the organzaton s beng mpacted by the change
and how they are beng mpacted. A snge change -
say the depoyment of a web-based expense
reportng program - w mpact dfferent groups very
dfferenty. Empoyees that do not have expenses to
report w not be mpacted at a. Staffs that trave
once a quarter w be ony sghty mpacted.
Assocates who are on the road a the tme w be
more mpacted, athough fng expenses s ony a
porton of ther day-to-day work. And for those n
accountng who manage expense reportng, ther
|obs w be competey atered. Outnng the
#230(,$- "%*/3& and showng )*F they w be
mpacted enabes specfc and customzed pans ater
n the change management process.
SUPPORTING STRUCTUREC
TEAM STRUCTURE - The change management team
structure dentfes F)* w be dong the change
management work. It outnes the reatonshp
between the pro|ect team and the change
management team. The most frequent team
structures ncude 1) change management beng a
responsbty assgned to one of the pro|ect team
members or 2) an externa change management
team supportng a pro|ect team. The key n
deveopng the strategy s to be &3$(#B#( and 20O$
0! #!B*%2$- -$(#&#*! when assgnng the change
management responsbty and resources.
S3*!&*% (*0+#,#*! - The sponsor coaton descrbes
the eaders and managers that need to be on-board
for the change to be successfu. Startng wth the
prmary sponsor (the person who authorzed and
funded the change), the sponsor mode documents
the +$0-$%& *B ,)$ "%*/3& that are beng mpacted
by the change. The change characterstcs w
determne who must be part of the coaton. Each
member of the sponsor coaton has the
responsbty to bud &/33*%, and (*22/!#(0,$
the change wth ther respectve audences.
STRATEGY ANALYSISC
RISK ASSESSME!, - The rsk of not managng the
peope sde of change on a partcuar change s
reated to the dmensons descrbed n the stuatona
awareness secton. Changes that are more 'dramatc'
and father reachng n the organzaton have a hgher
change management rsk. Lkewse, organzatons
and groups wth hstores and cutures that resst
change face hgher change management rsk. In
deveopng the strategy, *.$%0++ %#&O and &3$(#B#(
%#&O B0(,*%& are documented.
ANTICIPATED RESISTANCE - Many tmes, after a pro|ect
s ntroduced and meets resstance, members of the
team refect that "they saw that reacton comng." In
creatng the change management strategy, dentfy
where resstance can be expected. Are partcuar
%$"#*!& or -#.#&#*!& mpacted dfferenty than
others? Were certan groups advocatng a -#BB$%$!,
&*+/,#*! to the same probem? Are some groups
heavy #!.$&,$- wth how thngs are done today?
Note partcuar antcpated resstance ponts
dependng on how each group s reated to the
change.
SPECIAL TACTICS - The fna step of the change
management strategy s the dentfcaton of any
speca tactcs that w be requred for ths
30%,#(/+0% change ntatve. The speca tactcs
formaze many of the earnngs from the strategy
deveopment reated to the ()0!"$ and how t
mpacts dfferent 0/-#$!($& n the organzaton.
Throughout the change mpementaton, speca
tactcs may need to be revsted and updated.
WHATAS NEXT
Formuatng the change management strategy s the frst
crtca step n mpementng a change management
methodoogy. The strategy 3%*.#-$& -#%$(,#*! and
resuts n #!B*%2$- -$(#&#*! 20O#!" throughout the
change process. A we-formuated strategy reay brngs
the pro|ect or change to fe, descrbng F)* and )*F t
w mpact the organzaton.
The change management strategy aso contrbutes to
formuaton of the rest of the ()0!"$ 20!0"$2$!,
3+0!&. For nstance, the groups dentfed n the strategy
shoud each be addressed specfcay n the
communication plan. Steps for budng and mantanng
the coaton dentfed n the strategy are part of the
sponsorship roadmap. Each of the subsequent change
management pans and actvtes are guded by the
fndngs n the change management strategy.
C)0!"$
20!0"$2$!,
&,%0,$"'

C)0!"$
20!0"$2$!, 3+0!&
Stuatona
awareness
Supportng
structure
Strategy
anayss
drives

Communcaton
pan
Sponsorshp
roadmap
Coachng pan
Tranng pan
Resstance
management
pan
Renforcement
pannng
EFFECTIVE STRATEGIES FOR PROFESSIONAL
CHANGE MANAGEMENT
Not ong ago, the concept of ()0!"$ 20!0"$2$!, was
dsmssed by the corporate od guard as a threat to
tradton and a fata concesson to nconsstency. Yet n
reaty, change s unavodabe. C)0!"$ 20!0"$2$!,
acknowedges ths and aows organzatons to thrve as a
resut. Strateges of ()0!"$ 20!0"$2$!, are
themseves changng, focusng ess on busness and more
on the human eement of ()0!"$ 20!0"$2$!, for
greater success. They ncude:
Learnng and captazng on the benefts of change
Identfyng approaches to change that create
opportuntes, not crses
Acknowedgng and addressng prevous dffcutes and
osses
Broadenng awareness of the change process and
avodng vctmzaton
Convertng tenson and fear nto confdence and
exctement
Estabshng postve nterna daogue wth greater
adaptabty
Though t's commony met wth resstance by
tradtonasts and/or the fearfu, change can prove very
benefca when admnstered through proven ()0!"$
20!0"$2$!, strateges. For customzed professona
deveopment through ()0!"$ 20!0"$2$!,H
SUMMARY
REFERENCES