Leadership & Change

Management

Starting and leading

change: A process
perspective
Nature of Change

 Lewin (1951) provided some useful insights into

the nature of change that are very relevant for
those who seek to intentionally change the status
quo. He argued that the state of no change does
not refer to a situation in which everything is
stationary. It involves a condition of ‘stable quasi-
stationary equilibrium’ comparable to that of a
river which flows with a given velocity in a given
direction.
Nature of Change

 A change in the behavior of an individual, group

or organization can be likened to a change in the
river's velocity or direction. In a work situation, for
example, certain hostile and friendly actions may
occur between two groups in interdepartmental
meetings. If the level of hostile behavior is defined
as a problem, a desired change may involve a
reduction in hostile behavior and an increase in
friendly behavior, in other words in a move from
one state of stable quasi-stationary equilibrium to
another
Nature of Change
 Lewin argued that any level of behavior is maintained
in a condition of quasi-stationary equilibrium by a
force field comprising a balance of forces pushing for
and resisting change. This level of behavior can be
changed by either adding forces for change in the
desired direction or by diminishing the opposing or
resisting forces.

 Managing change, therefore, involves helping an

individual, group or organisation:
1. unfreeze or unlock from the existing level of behavior;
2. move to a new level; and
3. refreeze behavior at this new level.
Nature of Change
 Change is often managed less effectively than it
might be because those responsible for managing
it fail to attend to some of the critical aspects of
the change process. model (Hayes and Hyde
1998).
Nature of Change

 Recognition. The start of the process is the

recognition that external events or internal
circumstances require a change to take place.
Recognition involves complex processes of
perception, interpretation and decision making
that, if not managed carefully, can lead to
inappropriate outcomes, for example the
organisation might fail to change when it needs to
or it may change when change is not required.
Nature of Change
 Start of the change process. The start of the change
process involves translating the need for change into a
desire for change, deciding who will manage the
change and, especially where an external change agent
is introduced to help with this process, establishing a
workable and effective change relationship
 It may be more or less explicit and formal, but at some
point it typically involves a review, feasibility study or
project. Critical questions that need to be considered at
this stage are:
1. Who to involve,
2. What to make public (if anything), and
3. Who should have management responsibility
Nature of Change
 Diagnosis. Although reviewing the present and
identifying the future state may seem at first sight
to be separate and distinct activities, they are
often integrated in practice. These two steps
frequently go through several iterations,
progressing from broad concepts towards
something that is sufficiently concrete and
detailed to be implemented.
 Nature of Change
 Reviewing the present state. The present state of the organisation
can often only be understood in terms of the context of its past
history and its external environment. The precise objectives for
reviewing the present state will depend upon the type of change
that is being managed. Common reasons are to:
1. help identify the required change by diagnosing the cause of a
problem, identifying current deficiencies or clarifying opportunities;
2. establish a baseline so that it is clear what is changing; and
3. help define the future direction.
Data gained form this kind of review can also be used to help assess
how organisational members and other stakeholders will react, and to
prepare people for change.
Nature of Change
 There are two basic approaches to implementing
change. Sometimes change involves moving from
A to B, where, before implementation, the nature
of B is known and clearly defined. This kind of
change is sometimes referred to as a ‘blueprint’
change. Typical examples of a blueprint change
include relocation, computerisation of a business
process, or the introduction of a new appraisal or
grading system. In these circumstances it is easier
to view the management of change from the
perspective of ‘planned change’ that involves a
pre-determined linear process
Nature of Change
 Often, however, it is not possible to specify the
end point (B) of a change in advance of
implementation. For example, There may be a
broadly defined goal and a direction for change
(for example, improving competitiveness), but it
may not be possible to provide a very detailed
specification of what this end state will look like.
Hayes’ Model of Change
Starting the change:
developing a readiness for change

• Alerting people to the

need for change
• Translating this
awareness of the need
for change into a desire
for change
 Those leading change
often underestimate how
hard it can be to drive
people out of their comfort
zones and inspire them to
seek change
Issues to be addressed when
starting the change process
• Deciding who will lead the change

• Developing the change relationship

©PHOTOALTO
 Deciding who will lead the change:
insider or outsider?
Insiders may take on the role when:
• the person responsible for managing the unit that is the
target for change is committed to acting as change agent

• an insider has the time, and expertise to manage the

change

• the system does not have the resources to employ an

outsider

• issues of confidentiality and trust prohibit the use of an

outsider

• it proves impossible to identify a suitable outside

consultant.
Deciding who will lead the change:
insider or outsider?

Outsiders may be invited to take on the role when:

• there is nobody on the inside who has the time or competence to

lead the change
• it is felt that all the competent insiders have a vested interest in the
outcome and therefore might be less acceptable to some
stakeholders than a neutral outsider.
Key steps in the change process
Recognition and
starting the
1. Recognising the need for change and process
starting the change process

Leading and managing the people issues

2. Diagnosing what needs to be changed Diagnosis
and formulating a vision of a
preferred future state
3. Planning how to intervene in order to

Learning
Planning
achieve the desired change
4. Implementing plans and reviewing
progress
5. Sustaining the change Implementation
and reviewing
6. Leading and managing the people progress
issues
7. Learning
Sustaining the
change
 Recognising the need for change
and starting the change process

The start of the change process is recognizing that

external events or internal circumstances require or create
opportunities for change.
Recognition and
starting the
Leaders sometimes fail to process
recognise the need for change

Leading and managing the people issues

because they pay insufficient Diagnosis
attention to what is happening

Learning
in the wider environment. © Macmillan South Africa
Planning

One way of challenging accepted ways of Implementation

and reviewing
thinking is to involve a number of people progress
in the formulation of the change agenda.
Sustaining the
change
 Recognising the need for change
and starting the change process

Starting the change involves:

1. Translating the need or opportunity Recognition and
for change into a desire for change starting the
process

Leading and managing the people issues

2. Deciding who will manage the
change Diagnosis

3. Building effective relationships

Learning
between change agents and those Planning
affected by the change
Implementation
and reviewing
progress

Sustaining the
change
 Questions that might help leaders
reflect on how they are managing
this stage of the process
Recognition and
1. Who formulates the agenda for starting the
change? Should others be involved? process

Leading and managing the people issues

2. Do change managers recognise and
listen to informed others?
Diagnosis
3. Is the need for change translated into
a desire for change?

Learning
4. Is there a guiding coalition with
Planning
sufficient power to get things done?
5. Are the managers who will be
responsible for making the change Implementation
work sufficiently well represented in and reviewing
progress
the guiding coalition?
6. Is sufficient attention been given to
building trust and understanding between Sustaining the
those leading the change and those who change

will be affected by it?

Diagnosing what needs to be changed

This stage in the process involves reviewing where the

organization is today and where it might be in the future.
1. Reviewing the present state
● identify required changes by
diagnosing the cause of a problem or Recognition and
starting the
clarifying
● establishopportunities
a baseline so that it is clear process
what is changing

Leading and managing the people issues

● help define the future direction Diagnosis

2. Identifying the future state

Learning
Planning

Developing Visioning
a vision for impact for Implementation
the whole own part of and reviewing
organization organization progress

Sustaining the
change
Diagnosing what needs to be changed
3. Quality of the vision Recognition and
A shared vision of a more desirable future state starting the
can provide a focus for attention and action, and process

Leading and managing the people issues

mobilise energy and effort.

People are motivated to achieve goals to Diagnosis

which they are committed and try harder and
are less willing to give up when goals are

Learning
clear and realistic.
Planning
Problems can arise when
those leading the change
have a vested interest in a
Implementation
particular outcome or lock and reviewing
on to the first vision they progress
generate, and in so doing
©
lock out the possibility of
PhotoDisc

Sustaining the
considering alternatives. change
 Questions that might
help leaders reflect on Recognition and
how they are managing starting the
process
this stage of the process

Leading and managing the people issues

1. Who does the diagnosing – senior Diagnosis
managers, consultants or those who
will be responsible for making the

Learning
change work?
2. Are leaders willing to accept new Planning
data or do they only attend to data
that defends the status quo or
supports their preconceived view? Implementation
and reviewing
3. Does the diagnosis create a realistic progress
and inspiring vision that will motivate
others and help direct the change Sustaining the
change
effort?
Planning and preparing for change
Those leading the change need to give
attention to: Recognition and
1. The overall change strategy starting the
process
2. The type and sequence of interventions

Leading and managing the people issues

3. The many details that have to be
Diagnosis
managed
• when the end state can be specified
• when the end state cannot be

Learning
specified
4. The people issues Planning

5. The long-term
implications of
Implementation
planning and reviewing
decisions progress

Sustaining the
change
©PHOTODISC
A continuum of Intervention Strategies
Example of an Intervention
Strategy

 For example, a collaborative

intervention strategy involves working
with others to diagnose the need for
change and develop a plan for
implementation. Change managers who
adopt this approach behave as if they
need to draw on the experience and
expertise of others and/or assume that
by involving others they will generate a
sense of ownership and a level of
commitment that will increase the
likelihood of the change plan being
 Questions that might help leaders
reflect on how they are managing this
stage of the process
Recognition and
1. Is the change strategy appropriate (for starting the
example push, pull or a blend of both)? process

Leading and managing the people issues

2. Is it clear what needs to be done?
Diagnosis
3. Is it clear what kind of intervention(s)
would be most effective?

Learning
4. Is sufficient attention being given to
Planning
anticipating how people may react to
5. the change?thought being given to the
Is sufficient
longer term implications of decisions? Implementation
and reviewing
progress

Sustaining the
change
Implementing change and reviewing progress
© Royalty-Free/

Often change plans Recognition and

are not implemented starting the
process
as intended because

Leading and managing the people issues

those leading the
change fail to give
Diagnosis
sufficient attention to:
1. Competing goals

Learning
2. Communicating all aspects of the Planning
3. change
Motivating individuals and groups to
support the change
Implementation
4. Reviewing the change and monitoring and reviewing
progress progress

5. Fragmentation and the lack of

Sustaining the
coordination change
 Questions that might
help leaders reflect on
Recognition and
how they are managing starting the
process
this stage of the process

Leading and managing the people issues

1. Do change managers communicate a
compelling vision and set realist Diagnosis

goals?
2. Are stakeholders being managed

Learning
effectively?
Planning

3. Do change managers seek feedback

in order to eliminate impediments to Implementation
implementation? and reviewing
progress

4. Is there sufficient coordination Sustaining the

between those involved in change
implementing the change?
 Sustaining change
It is not enough to think Recognition and
of change in terms of starting the
process
simply reaching a new

Leading and managing the people issues

state.
A sustained change is one where “new
Diagnosis
ways of working and improved
outcomes become the norm” and

Learning
where “the thinking and attitudes
behind them are fundamentally Planning
altered and the systems surrounding
them are transformed in support.”
Implementation
and reviewing
progress

Sustaining the
change
 Questions that might
help leaders reflect on
how they are managing Recognition and
starting the
this stage of the process process
1. Do change managers pursue a change

Leading and managing the people issues

strategy that wins long-term
Diagnosis
2. commitment?
Do they reinforce changes post
implementation?

Learning
3. Do they avoid declaring victory
4. too soon?
Do they give sufficient attention to Planning

managing the consequences of

churn?
Implementation
and reviewing
progress

Sustaining the
change
Leading and managing the people issues
©Getty Images/Blend

Those leading change sometimes

approach issues from a purely
technical perspective and give
insufficient attention to what some
refer to as the “softer” people issues.
Examples of people issues are: Recognition and
starting the
1. Internal politics and the power of

Leading and managing the people issues

process
stakeholders to affect outcomes
2. The way leaders relate to the intended Diagnosis
recipients of change

Learning
3. Communication
4. Trust Planning

5. Motivation and commitment

6. Support for those who will be affected by the Implementation
and reviewing
change progress
Those leading a change need to
give constant attention to shaping Sustaining the
the political dynamics of change change

and motivating constructive

behaviour.
Questions that might help leaders reflect on
how they are managing this stage of the
process
1. Do leaders empathise with others and
Recognition and
understand how they might react to the starting the
possibility of change? process

Leading and managing the people issues

2. Do they act in ways that will promote
trust and win commitment? Diagnosis
3. Do they identify and engage those

Learning
individuals and groups who can affect
the success of the change? Planning

4. Are they good communicators?

5. Do they empower others to Implementation
contribute to the change? and reviewing
progress
6. Do they support those who are
threatened by the change? Sustaining the
change
 Learning
Single loop learning occurs when
leaders focus their attention on
detecting errors and acting on this
feedback to modify their and other
©Getty Images/Caiaimage
people’s behaviour.
Recognition and
Modify Identify starting the

Leading and managing the people issues

process
behaviour corrective
action
Diagnosis

Learning
BEHAVIOUR RESULTS Reflect on
Planning
results and
detect errors
Implementation
and reviewing
progress
Any new ways of acting are likely to be bound
by current thinking and known routines. Sustaining the
change
Double loop learning challenges accepted
ways of thinking and behaving and provides a
new understanding of situations and events.

© PHOTODISC
BEHAVIOUR RESULTS Reflect on
results Recognition
and
starting

Leading and managing the people issues

Diagnosis
Identify beliefs

Learning
Challenge and
assumptions
Planning
Revise these beliefs
beliefs and and that guide Implementation and
reviewing

assumptio assumptions decisions and

ns actions Sustaining

Covey (1992) argues that:

“The more aware we are of our basic paradigms, maps
or assumptions, and the extent to which we have been
influenced by our experience, the more we can take
responsibility for those paradigms, examine them, test
them against reality, listen to others and be open to
their perceptions, thereby getting a larger picture and
a far more objective view.”(p. 29)
 Questions that might help leaders
reflect on how they are managing
this stage of the process
Recognition and
1. Do they anticipate how others will starting the
respond to events before deciding what process

Leading and managing the people issues

2. to
Dodo?
they monitor the effects of their
actions and use this information to Diagnosis
guide future decisions?
3. Are they receptive to feedback from

Learning
4. To what extent do they view their
others? Planning
own and others’ mistakes as
opportunities for learning?
5. Do they attempt to identify and
Implementation
challenge the assumptions that and reviewing
underpin their behaviour? progress
6. Are they aware of how decisions that
produce positive outcomes in the short
Sustaining the
term may undermine performance over change
the long term?
Improving leader performance
Leaders need to be aware of these
barriers that can make it difficult for them Recognition and
starting the
to unlock from an immediate “doing” process
mode; they need to work hard to adopt an

Leading and managing the people issues

“observing” mode and bring a critical
perspective to bear on their everyday Diagnosis

practice.
When managing change is viewed

Learning
as a process and when events,
Planning
decisions, actions and reactions
are seen to be connected leaders
are more likely to be able to take
Implementation
action and intervene in ways that and reviewing
can break inefficient patterns and progress

move the change process in a

direction that is more likely to Sustaining the
change
deliver superior outcomes.
References

 Hayes, J (2010). The theory and practice of

change management. London: Palgrave Macmillan