Change management is considered to be a structured approach that supports an organisation to move from one state to another desired state and is often concerned with supporting employees to facilitate change successfully. 

In organisations, the need for change can be triggered by both external and internal factors, such as: 

• economic downturn
• technological advancements
• customer pressure
• legislative change
• government initiatives
• environmental factors
• a change in strategic direction.  

There are many types of change in organisations, all of which need to be managed. Examples include: 

• process changes, including the introduction of new technologies
• systems and ways of working
• cultural change
• introduction of new products or services
• entry to new markets
• restructuring and redundancy.  

Change can be incremental, step-by-step and potentially unnoticed, or transformational and therefore have significant impact.  

People professionals have a substantial part to play in any change situation and should be involved from the start of the change initiative to:

• advise on the skills available in the organisation and support the identification of any skill gaps
• assess the impact of change in one area of the business on other areas
• understand stakeholder concerns, and anticipate problems
• utilise negotiation skills with various stakeholders
• understand the right communication medium for each message and group
• support people to cope with the change.  

Lewin’s three stage model of change established some general steps in the process of change. Lewin also introduced force field analysis which has been widely used by organisations to help them understand forces for change and obstacles to change.

Lewin’s (1947) Change Model

Lewin describes change in three stages: Unfreeze, Move, Refreeze:

• The ‘unfreeze’ stage 
  The aim is to examine the status quo - where are we now - to increase the driving forces for change and to decrease the resisting forces. This is the initial stage of identifying the need for change, the benefits of the change and starting the communication and engagement process.
• The ‘move’ stage
  Lewin talks about taking action, making changes and, importantly, involving people in that process, all important steps in making the change happen.
• The ‘refreeze’ stage
  This stage means making the change permanent, establishing new ways of working and ensuring the desired outcomes are rewarded. This is an essential stage – ensuring the ‘move’ stage becomes the new norm and that individuals don’t revert to old practices.

Pros

• Lewin’s change model has formed the basis of many other change models and is the most well-known and widely tested model. 
• The three steps can take account of both pro-active and reactive organisational change.

Cons

• The model was not specifically developed for organisational change and is considered to be too simplistic and not representative of what actually happens during organisational change. More information is required to adapt the model to different organisational situations and contexts.  
• Implementing the three steps is considered to be a top-down, management-driven approach to change. It focuses on delivering outcomes with little consideration of the people involved. 
• Lewin’s three steps are considered by some to be based on traditional organisations and assume a level of stability that is no longer relevant to the constantly evolving business environment. 

Lewin’s three steps may be useful to understand small-scale changes and to emphasise the importance of embedding changes. 

Kotter’s eight-step change process was outlined in his book Leading Change in 1996 which emphasised that successful change requires strong leadership and effective management decision making.

The first three stages cover increasing urgency, building a guiding team and getting the right vision, which is grouped as ‘getting the right climate for change’ and maps to Lewin’s unfreeze stage.

The next three stages involve communicating to gain buy in, empowering action and creating short-term wins – the engaging and enabling stage.   

Kotter’s final two stages cover implementing change and, very importantly, sustaining change. Kotter refers to these as ‘don’t let up’ and ‘make it stick’.

Pros

• The stages of the model are easy for professionals to understand and so is considered a practical and helpful 'how to' guide to change management. 
• The model was designed to help managers avoid common mistakes in implementing change and therefore it may provide useful insights for inexperienced managers. 
• It is potentially flexible and adaptable to different change projects and some stages can be skipped for smaller scale changes. Stages can also be re-visited and improvements made. 

Cons

• There is a lack of evidence about whether Kotter’s model works in practice, particularly by following all the stages in succession. 
• The model does not include detailed tools to support each stage of implementation. 
• Kotter’s Eight Steps of Change focuses on a top-down process of implementation which doesn’t clearly take employee views and feedback into account. This is reflected in some of the terminology used, such as "don’t let up". Neither does it consider the potential impact of change on employees and how managers should deal with this empathetically. 

It has been suggested that Kotter’s model is most useful as a change planning tool and should be used in conjunction with other tools that enable it to be adapted to different contexts. It has been found to be most successful for multi-site, large-scope projects. 

The change curve is derived from the work of Elizabeth Kubler-Ross who studied responses to grief and came up with the stages individuals go through when they are faced with this. The model has evolved over time and sometimes the stages are referred to in different ways, but is most typically outlined as follows:

1. For many people the initial reaction to the need for change is shock – questioning and asking why as well as denial that the change is needed, believing everything is fine and that the change won’t work or won’t happen.
2. The second stage involves expressions of anger or frustration at the prospect of the change. 
3. After this, most people go through a phase of uncertainty which can be the most difficult time. Uncertain, anxious, overwhelmed people who don’t know what to expect don’t perform well. This stage can involve attempts at bargaining with the change to try and minimise the impact on themselves.
4. Before accepting the change, individuals may withdraw and experience feelings of hopelessness which is often referred to in the curve change model as the depression stage.  
5. Acceptance. At this stage individuals start to come to terms with the reality of the situation – that it is going to happen. They will then start to test out what it means – what will happen, and where they will fit in. Sometimes this is broken down into additional stages of experimenting with and ultimately deciding to adopt the change. It is important to recognise the need for individuals to test out the new reality and support them through this stage to the reflection stage. Allow people to express their concerns and try to determine the root cause in order to address these. This stage ends with integration when individuals assimilate the change and adjust to the new way of working. Sometimes this stage is referred to as problem-solving followed by moving on. 

Understanding these stages and the need for individuals to come to terms with what is happening around them is crucial because of the amount and pace of change facing organisations today. Helping individuals to work through each stage is important in both making the change and sustaining it going forward. However, it cannot be assumed that all employees will follow the change curve in the same way and at the same pace.  

Although research demonstrates that employees going through organisational change programmes experience these stages, it has also been suggested that the model is too linear. In reality, employees do not necessarily follow the change curve in a straightforward sequence and may return to earlier stages even after later stages have been reached. 

Pros

• Understanding this model helps people professionals prepare to deal with any emotional reactions to change and provides the reassurance that these are likely to be temporary. 
• Focuses on the people affected rather than the change project itself and thereby can demonstrate the organisation is serious about helping employees to cope with the change. 

Cons

• As the model is based on research into grief and loss, it focuses on the change itself as serious and threatening rather than the outcome of change as potentially beneficial and positive.
• Not everyone will experience change in the same way. Assuming employees will follow the curve may mean individual needs are not taken into account. 
• Employees may experience other emotions not anticipated by the change curve. This can leave people professionals and managers potentially unprepared to deal with these emotions and employees left feeling their emotional reactions are not valid. 
• Using the curve change model may lead to allowing or even supporting unhelpful behaviours by viewing them as symptoms rather than encouraging constructive feedback. 
• The change curve assumes all employees will eventually accept the change given time which may reduce emphasis on the need to explain changes and provide employee support.  
• It is not necessarily possible to be able to tell which stage employees have reached. The change curve model does not provide any practical solutions regarding how organisations can support employees through the different stages, nor who should provide that support.

The Kubler-Ross change curve is not necessarily a model to implement change but can be used to anticipate and thereby address employees coping with change. It is more suited to understanding potential employee reactions to large-scale, complex change projects or those that are likely to have a significant negative impact on employees. 

The humanistic approach to change management incorporates some of the strengths of models of change management that focus on changing behaviour, such as Lewin’s, and models that try to understand people’s psychological reactions to change, such as the change curve. 

Humanist approaches are considered to be more people-centred and holistic because they take individual personal growth into account. An approach to change based on Carl Rogers concentrates on the conditions necessary for change by focussing on the environment in which change occurs and treating employee reactions with empathy. This environment creates the conditions for employees to realise that they can change. Rogers outlined seven stages that individuals progress through, from not desiring change to expressing and accepting feelings. There is growing interest in person-centred, human approaches to change. 

Pros

• A person-centred approach is thought to decrease resistance to change.
• The approach recognises that individuals respond to change differently and accept change at different rates. Taking a person-centred approach can improve empowerment and wellbeing. 

Cons

• The model is based on therapeutic change and managers may not have the skills to realise the potential benefits of using this model.
• Carl Rogers’ approach does not offer the structure of other models and is lesser-utilised, meaning there is a lack of evidence regarding whether it is effective. Practically it may be time-consuming to implement due to the individualised approach.  

A person-centred approach is likely to be most suitable for organisations who have already adopted a person-approach to management. Person-centred approaches are currently most prevalent in the healthcare sector.

The McKinsey 7S model was developed in the 1970s to initially focus on the strategic aspects of change management. It has since been extended to incorporate seven factors that are believed to influence organisational change; Shared Values, Strategy, Structure, System, Skills, Staff and Style. 

Pros

• The model was designed to both diagnose problems and to support the development of programmes for improvement. As it can be used to assess and monitor change it supports recognition of change as ongoing rather than as a one-off event. 
• The model can be adapted to different organisational contexts and incorporates both hard (Strategy, Structure, Systems) and soft (Shared Values, Skills, Staff, Style) elements. It therefore recognises the impact of change on broad aspects of the organisation.

Cons

• The model requires a separate change action plan to be developed.
• As it is a strategic model it may not adequately take account of the psychological impact of change on employees.  
• It is time-consuming to produce and analyse the level of data required for the model to be effective. 

As the McKinsey 7S model is used more like an analysis tool it is most useful for organisations that either already have change plans developed or wish to assess the effectiveness of change projects that have already been implemented. 

Agile working is viewed as a flexible approach that supports organisations to continually adapt to changing external pressures. The CIPD recognises that people professionals are key to agile working due to its direct link with people practices. Agile approaches emerged in IT and software but are increasingly being used outside that field and have also been related to lean management. There are a number of agile models. One example is Schwaber and Sutherland’s Scrum which they describe as a process for iterative and incremental change. 

Pros

• Agile transformation is considered to be people-centred rather than process-centred and focusses on empowerment. 
• Agile is designed to support a rapid response to required change. 
• Agile is based on experience so employees can feel like they are part of the change and their contribution is valued. 

Cons

• Agile requires significant transformation in ways of working which can be complex and time-consuming. 
• The approach is relatively new so specific guidance, models and evidence are lacking compared to other more established models. 

Agile transformation is considered to be more appropriate for large-scale innovation and modernisation projects such as digital transformation.

The following points offer some practical recommendations for each stage of the change management process, based on the Lewin and Kotter models above:

1. Identify the need for change, be clear where you want to be and envisage what the changed state will look like. Assess the drivers for the change and the forces against. Ensure you understand and can explain the benefits the change will bring.
2. Identify the stakeholders and put together a plan to involve them from the start. Determine who needs to be part of the team guiding the change and what each role and responsibility is within the change programme.
3. Set the scene for change – ready people for the change. As Lewin says ‘unfreeze’ – unlock the impetus to get things moving.
4. Put together a detailed plan for change which includes communication and stakeholder engagement. Consider the time frame and identify timescales for each part of the plan. Individuals are more comfortable with change if they know not only what but when it is likely to happen. Timescales need to be carefully considered – if your timescales are too short you may not have built in enough time for communication or any contingency to address issues and could find you are always behind. If you allow too much time, the project could lose momentum and the engagement of stakeholders, who start to wonder if it is ever going to happen. Ensure that part of your implementation plan covers communication and, where appropriate, consultation. It is important to keep stakeholders informed and updated throughout the change process.
5. Empower individuals to take the action required as outlined in the plan. Ensure everyone understands their role and responsibilities and has the skills and knowledge required to take the action needed. This will include regular communication and involvement and potentially training through the change.
6. Monitor progress of the delivery plan and take action to address any issues and keep everyone on track. It is advised that appropriate reporting processes are put in place to update on progress and get agreement to any variation to the plan. Identify any learning needs and consider and implement any training required to enable the change to happen effectively and ensure there is alignment with current processes, adapting these where necessary.
7. Take steps to embed the change, in Kotter’s model ‘make it stick’. This will involve sign off of the change programme as completed, along with a review of the impact of the change and lessons learned. Communication and involvement is a key part of this, as is ongoing monitoring and evaluation.  

The first step is to create a vision for change – determining exactly what needs to change and why. It is also important to be very clear and to envisage, before embarking on a change management programme, exactly what the change will look like – what you expect to be different. Having that vision in mind throughout the change programme will help keep the programme on track and mean you are able to take people with you on the journey.

It is always advisable to put together the business case for change, which can then be used to communicate the need for change, the benefits and the proposed plan.

The business case should include:

• what the change is
• why the change needs to happen – be clear on the impact if it does not happen within certain timescales
• the benefits of making the change
• any financial implications
• when the change is likely to take place
• how the change will be managed.  

Carrying out a stakeholder analysis is an essential part of the change management process. This involves:

• List all parties who are likely to be affected by the change – both positively or negatively, directly or indirectly.
• List all the names of stakeholders who might:
  • be concerned in any way with the change
  • hold an influential position
  • be affected by the issues/outcomes addressed in the change.
• Assess the stakeholders using a grid to identify levels of interest – high to low – and level of influence – high to low.  Where the stakeholder has both high interest and high levels of influence, you need to focus on communication and engagement and closely manage their involvement. Where the stakeholder has low interest and low influence, you need to focus on keeping them informed – still keeping in mind they are a stakeholder in the change.
• You can assess the needs and preferences of each stakeholder/stakeholder group by researching and finding out more information from them in the following ways:
  • through one-on-one interviews
  • using focus groups of representative people
  • by using a survey to gauge the level and area of interest. 

It is critical to understand and be able to communicate why change needs to happen and the benefits. Helping people to understand how the organisation will benefit, how customers will benefit and how they will personally benefit is essential in engaging with people and getting them on board with the change programme at an early stage. 

The benefits of change can be wide ranging and could be: 

• increased efficiency
• reduction in costs
• improved customer service
• increased market share etc. 

The plan for change will need to cover the following areas:

• Determining the goals and objectives of the change
• Designing the change
• Identifying the key stakeholders
• Identifying specific activities
• Communication
• Agreement to the change
• Implementation
• Monitoring and evaluating activity
• Ensure the change is embedded and lessons are learned.  

You will need to identify the drivers for change and plan your approach accordingly. Depending on where the need for change is coming from, you may need to focus more on communication than involvement or more on defining the change than engaging with the pre-determined change.  

Be a change leader

It is essential that you ensure the change is owned. The role of the change leader is to seek out and welcome new ideas, manage communication and the information required to make the change happen, integrating people and building a community around one vision. 

Kotter talks about building the guiding team as the second of his eight steps to change. A strong change leader should sponsor the change to generate a positive attitude towards it. Leading change is about pulling rather than pushing people to change – promoting rather than imposing. This involves everyone having confidence in the change, good planning, a positive attitude and an ability to motivate others. 

Building a team for change

It is important to ensure the right team are in place to support the change programme and engage with the right people from the start of the process. Important key skills include:

• communication – to articulate the vision for change and to listen to concerns and ideas
• planning and problem solving – to address issues and manage resistance 
• negotiation and influencing skills.

Depending on the type of change, you may need to bring in people with, for example, legal knowledge, IT skills, or learning and development skills, to identify learning needs and develop plans to address this, as well as other specialists from the areas of the business affected by change. 

There will inevitably be some resistance to the change, however clearly articulated and carefully managed the programme. To minimise levels of resistance and cope with this, be aware and recognise that people often find change difficult to deal with and need to go through their own process of acceptance. 

The change curve (as detailed above) can be an extremely useful tool in understanding how individuals react and respond to change situations and for taking them on the change journey. 

To minimise resistance:

• Ensure the culture is right for change – set expectations, prepare people for change
• Recognise individuals need time to understand and come to terms with change as they work through the change curve
• Ensure there is effective communication throughout the change process – explain and reinforce the need for change
• Ensure you engage people meaningfully
• Make sure you follow up – do what you say you will and keep talking
• Provide support and help with learning
• Ensure all members of the leadership team are as one – clear management agreement on strategy and plans and that employees know there is agreement
• Ensure the change is planned and that employees understand the plan
• Ensure the skills to implement the change are in place and employees have the skills needed to change.  

Carrying out a ‘lessons learned’ exercise is an essential and valuable stage in managing any project or change process. There will inevitably have been areas where activities could have been improved, engaged more people at an early stage or been completed more efficiently. It is important to receive this feedback and review these in detail, to identify how improvements can be made for the future and whether there is anything more that needs to be done to secure the success of the current change programme.

The 'lessons learned' exercise does not have to wait until the end of the change programme but can be carried out throughout at various stages, as often as any programme may require.

The key to carrying out the exercise is to have the key stakeholders involved. A clear objective and agenda for the meeting is important, to ensure the relevant areas are covered. The person leading the meeting must have the required facilitation skills, so that actions are clearly documented and followed up.    

MindTools.com - Lewin's Change Management Model

Kotterinc.com - The 8 Steps for Leading Change

Ekrfoundation.org - Kübler-Ross Change Curve

Books

CAMERON, E. AND GREEN, M. (2019) Making sense of change management: a complete guide to the models, tools and techniques of organisational change. 5th ed. London: Kogan Page.

This guide was written by Angela Roberts, Director, The HR Consultancy and Dr Helen Tracey, Assistant Professor in LHRM at Northumbria University.