[NOTE: This post was updated November 2016]
In “Leading Change” (1996), Kotter outlined an 8-Stage Process to Creating Major Change:
- Establish a Sense of Urgency: Examine market and competitive realities; identify and discuss crises, potential crises, or major opportunities
- Create the Guiding Coalition: Assemble a group with enough power to lead the change; get group to work together as a team
- Develop a Vision & Strategy: Create a vision to help direct the change effort; Develop strategies for achieving that vision
- Communicate the Vision: Use every vehicle possible to communicate the new vision and strategies; have Guiding Coalition role model the behavior expected of employees
- Empowering Action: Get rid of obstacles to change; change systems or structures that undermine the vision; encourage risk-taking and nontraditional ideas, activities, and actions
- Generating Short-Term Wins: Plan for visible performance improvements or “wins”; create those “wins”; recognize and reward employees who made “wins” possible
- Consolidate Gains and Produce More Change: Use increased credibility to change systems, structures, and policies that don’t fit the vision; hire, promote, and develop employees who can implement the change vision; reinvigorate the process with new projects, themes, and change agents
- Anchor New Approaches in the Corporate Culture: Create better performance via customer- and productivity-oriented behavior, more and better leadership, and more effective management; articulate the connections between the new behaviors and organizational success; develop the means to ensure leadership development and succession.
Professor Kotter (1996) shared about a time he consulted with an intelligent and competent executive who struggled trying to implement a reorganization. Problem was many of his managers were against it. Kotter went through the 8-stage process. He asked the executive whether there was a sense of urgency (Stage #1) among the employees to change. The executive said, “Some do. But many probably do not.” (Kotter, 1996, p. 22). When asked about a compelling vision and strategy to implement (Stage #3), the executive replied, I think so [about the vision]…although I’m not sure how clear it [the strategy] is” (Kotter, 1996, p. 22). Finally, when Kotter inquired whether the managers understood and believed in the vision, the executive responded, “I wouldn’t be surprised if many [people] either don’t understand the concept or don’t entirely believe in it [the vision]” (Kotter, 1996, p. 22).
Kotter (1996) states that when Stages #1-4 of the Kotter model are skipped it’s inevitable that one will face resistance. The executive ran into resistance because he went directly to Stage #5. Kotter states that in attempting to implement change, many will rush through the process “without ever finishing the job” (Kotter, 1996, p. 22) or they’ll skip stages and either jump to or only do Stages 5, 6, and 7.
Schermerhorn, Hunt, and Osborn (2005) maintain that when employees resist change they are protecting/defending something they value and which seems threatened by the attempt at change.
Eight Reasons for Resisting Change (Schermerhorn, Hunt, & Osborn, 2005):
- Fear of the unknown
- Lack of good information
- Fear of loss of security
- No reasons to change
- Fear of loss of power
- Lack of resources
- Bad timing
To overcome resistance to change, make sure that the following criteria are met (Schermerhorn, Hunt, & Osborn, 2005):
- Benefit: Whatever it is that is changing, that change should have a clear relative advantage for those being asked to change; it should be seen as “a better way.”
- Compatibility: The change should be as compatible as possible with the existing values and experiences of the people being asked to change.
- Complexity: The change should be no more complex than necessary; it must be as easy as possible for people to understand and use.
- Triability: The change should be something that people can try on a step-by-step basis and make adjustments as things progress.
There are 6 methods for dealing with resistance to change (and their advantages & drawbacks)*** (Schermerhorn, Hunt, & Osborn, 2005; Kotter & Schlesinger, 1979 & 2008):
- Education & Communication: educate people about a change before it is implemented; help them understand the logic behind the change.
- Participation & Involvement: allow people to help design and implement the changes (e.g., ideas, task forces, committees).
- Facilitation & Support: provide help (emotional & material resources) for people having trouble adjusting to the change.
- Negotiation & Agreement: offers incentives to those who resist change.
- Manipulation & Cooptation: attempts to influence others.
- Explicit & Implicit Coercion: use of authority to get people to accept change.
***For additional (and quite valuable) information related to the six methods for dealing with resistance to change outlined by Schermerhorn and colleagues, there is a Harvard Business Review article by Kotter and Schlesinger (1979 & 2008). The 2008 article, “Choosing Strategies for Change” is a reprint of the same 1979 article. For better layout and graphics, I’ve referred to the 2008 article. I believe the six methods for dealing with resistance to change outlined by Schermerhorn and colleagues (2005) is based on or came directly from Kotter and Schlesinger’s 1979 article.
***In Kotter and Schlesinger’s 1979 HBR article (and in the 2008 HBR reprint) the six methods for dealing with resistance to change included the six approaches (e.g., education + communication, negotiation + agreement, etc.) as well as three more columns (commonly used in situations; advantages; and drawbacks). I found this to be especially useful and have posted a screenshot (above) of the graphic used in Kotter and Schlesinger’s 2008 HBR article. I would encourage readers to read Kotter and Schlesinger’s HBR article.
Written By: Steve Nguyen, Ph.D.
Organizational & Leadership Development Leader
Kotter, J. P. & Schlesinger, L. A. (1979). Choosing strategies for change. Harvard Business Review, 57(2), 106-114.
Kotter, J. P. & Schlesinger, L. A. (2008). Choosing strategies for change. Harvard Business Review, 86(7/8), 130-139. Also retrieved from https://hbr.org/2008/07/choosing-strategies-for-change
Kotter, J.P. (1996). Leading change. Boston, MA: Harvard Business School Press.
Schermerhorn, J.R., Hunt, J.G., & Osborn, R.N. (2005). Organizational Behavior (9th ed.). New York: John Wiley & Sons, Inc.