6 Change Approaches: Framework Primer

Framework Primer
6 Change Approaches
Education and
Communication
Participation and
Involvement
Facilitation and Support
Negotiation and
Agreement
Change
Manipulation and Cooptation

Explicit and Implicit
Coercion
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Contents
Overview
6 Approaches to Change
Strategic Options
Templates
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The 6 Change Approaches is a framework to prevent, decrease, or

minimize resistance to change in organizations
Presentation Overview
The 6 Change Approaches developed by John Kotter and Leonard Schlesinger is a
model to prevent, decrease, or minimize resistance to change in organizations.
The 6 approaches are:
1 Education and Communication
4 Negotiation and Agreement
2 Participation and Involvement
5 Manipulation and Co-optation
3 Facilitation and Support
6 Explicit and Implicit Coercion
Before any approach methods are used, it is important to understand why

people resist change. Kotter and Schlesinger identify four reasons:
1 Parochial Self-interest
3 Low Tolerance of Change
2 Misunderstanding
4 Different Assessments of the Situation
Organizations must deal with new government regulations, new products, growth, increased
competition, technological developments, and a changing workforcewhich all force change.
There are 4 primary reasons why people are resistant to change

4 Reasons of Change Resistance
1
Parochial
Self-interest
Misunderstanding
Low Tolerance of
Change
Some people are more

concerned with the
implication of the
change for themselves
and how it may affect
their own interests,
rather than considering
the effects for the
success of the business
Communication
problems
Inadequate information
Certain people are very

keen on the feeling of
job security and having
stability in their work
4
Different
Assessments of the
Situation
Some employees may
disagree with the
reasons for the change
and with the
advantages and
disadvantages of the
change process
All people who are affected by change experience some emotional turmoil even changes that
appear to be "positive" or "rational" involve loss and uncertainty.
Kotter and Schlesinger came up with the following 6 Change Approaches

to combat change resistance
6 Changes Approaches
Education and
Communication
Participation and
Involvement
Negotiation and
Agreement
Change
Facilitation and Support
Manipulation and Cooptation

Coercion
These approaches identified are based on analyses of dozens of successful and unsuccessful
organizational changes.
Source: Choosing Strategies for Change, July-Aug 2008 issue, Harvard Business Review
Contents
Overview
Strategic Options
Templates
One of the best ways to overcome change resistance is to inform and

educate people about the change effort beforehand
Change Approach Education and Communication
Overview
Advantages
This occurs when there is a lack of information or

inaccurate information and analysis
Once persuaded, people will often

help with the implementation of the
change
One of the best ways to overcome resistance to

change is to inform and educate people about the
change effort beforehand
Preceding communication and education helps
employees see the logic in the change effort
This reduces unfounded and incorrect rumors
concerning the effects of change in the
organization
Disadvantages
Can be very time consuming if lots of
people are involved
We can often avoid change resistance if we involve the potential change

resisters during the design and implementation of change
Change Approach Participation and Involvement
Overview
Advantages
If we involve the potential change resisters in

some aspect of the design and implementation of
the change, this can often avoid resistance
People who participate will be

committed to implementing change,
and any relevant information they
have will be integrated into the change
plan
With a participative change effort, we listen to the

people the change involves and use their advice
Where we do not have all the information they
need to design the change, or when they need the
complete commitment of others to do so, involving
others makes good sense
Typically, participation leads to commitment and
commitment is needed for the change to be a
success
Disadvantages
Can be very time consuming if
participators design an inappropriate
change
However, If not managed properly, participation will

lead to an enormously time consuming process
We should incorporate Facilitation and Support when resistance to change

stems from adjustment problems
Change Approach Facilitation and Support
Overview
Advantages
This approach is useful when the resistance to

change is because of adjustment problems
No other approach works as well with

adjustment problems
By being supportive of employees during difficult

times, managers can prevent potential resistance
Managerial support helps employees to deal with
their fear and anxiety during a transition period
In this case, the basis of resistance to change is
likely to be the perception that there will be some
form of detrimental effect caused by the change in
the organization
Disadvantages
Can be time consuming, expensive,
and still fail
Typically, for this approach, it requires special

training and counselingoutside normal office
premises
If the resistance is because someone 1) will lose out due to change or 2)

has power to resist, we should involve Negotiation and Agreement
Change Approach Negotiation and Agreement
Overview
Advantages
This approach is for the situation where someone

(or some group) may lose out because of a
change, and where that individual or group has
considerable power to resist
Sometimes it is a relatively easy way

to avoid major resistance
Managers can combat resistance by offering

incentives to employees not to resist change0
this can be done by allowing people who are
resisting the change to veto certain elements of
change that are threatening
Alternately, the people who are resisting can be
offered incentives to leave the company through
early buyouts or through retirementsthis
approach will be appropriate where those resisting
change are in a position of power
Disadvantages
Can be too expensive in many cases
if it alerts others to negotiate for
compliance
10
If the other approaches wont work, we can co-opt with those who are
resisting change by bringing them into the change planning group
Change Approach Manipulation and Co-optation
Overview
Advantages
If the other tactics wont work or are too expensive,

an effective manipulation technique to use is: to
co-opt with people who are resisting the change
It can be a relatively quick and

inexpensive solution to resistance
problems
Co-optation involves bringing a person into a

change management planning group for the sake
of appearances rather than their substantive
contribution
This often involves selecting leaders of the people
who are resisting the change to participate in the
change effort
These leaders can be given a symbolic role in
decision-making, without threatening the change
effort
Disadvantages
Can lead to future problems if people
feel manipulated
11
Lastly, coercion can be usedbut only if speed is essential and as a last

resort
Change Approach Explicit and Implicit Coercion
Overview
Advantages
Explicit and Implicit Coercion can be used where

speed is essentialand should be used only as
the last resort
It is speedy and can overcome any

kind of resistance
With this approach, managers can explicitly or

implicitly force employees into accepting change
by making clear that resistance to change can lead
to:
Jobs losses
Disadvantages
Dismissals
Can be risky if it leaves people angry

at the initiators
Employee transfers
Elimination of promotions
12
Contents
Overview
Strategic Options
Templates
13
We can think of the strategic options available as a continuumone end

calls for a slower process, whereas the other calls for immediate change
Strategic Options
Strategic continuum
Fast
Slow
Clearly planned
Little involvement of
others
Attempt to overcome any
resistance
Situational
Factors
Not clearly planned at the

beginning
Lots of involvement of
others
Attempt to minimize any
resistance
Exactly where a change effort should be strategically positioned on this continuum depends
on the Situational Factors.
14
Exactly where a change effort should be strategically positioned on the

strategic continuum depends on four Situational Factors
Situational Factors
The amount and type of resistance
that is anticipated
The position of the initiator

vis--vis the resisters (in terms of
power, trust, and so forth)
The locus of relevant data for

designing the change and of needed
energy for implementing it
The stakes involved
All other factors being equal, the greater the anticipated

resistance, the more difficult it will be simply to overwhelm it,
and the more a manager will need to move toward the right on
the continuum to find ways to reduce some of it
The less power the initiator has with respect to others, the
more the initiating manager must move to the right on the
continuum
Conversely, the stronger the initiators position, the more he or
she can move to the left
The more the initiators anticipate that they will need
information and commitment from others to help design and
implement the change, the more they must move to the right
Gaining useful information and commitment requires time and
the involvement of others
The greater the short-run potential for risks to organizational
performance and survival if the present situation is not
changed, the more one must move to the left
15
Contents
Overview
Strategic Options
Templates
16
Insert Headline
6 Changes Approaches TEMPLATE
Negotiation and
Agreement
Education and
Communication
Participation and
Involvement
Change
Facilitation and
Support
Manipulation and
Co-optation

Coercion
Insert kicker.
17
Insert Headline
6 Changes Approaches TEMPLATE ALTERNATE
Participation
and
Involvement
Education
and
Communication
Facilitation
and Support
Change
Negotiation
and Agreement
Explicit and
Implicit Coercion
Manipulation
and Co-optation
18
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Framework Primer

Facilitation and Support

Manipulation and Cooptation

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

The 6 Change Approaches is a framework to prevent, decrease, or

4 Negotiation and Agreement

2 Participation and Involvement

5 Manipulation and Co-optation

3 Facilitation and Support

6 Explicit and Implicit Coercion

Before any approach methods are used, it is important to understand why

3 Low Tolerance of Change

4 Different Assessments of the Situation

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

There are 4 primary reasons why people are resistant to change

Some people are more

Certain people are very

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

Kotter and Schlesinger came up with the following 6 Change Approaches

Facilitation and Support

Manipulation and Cooptation

Explicit and Implicit

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

One of the best ways to overcome change resistance is to inform and

This occurs when there is a lack of information or

Once persuaded, people will often

One of the best ways to overcome resistance to

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

We can often avoid change resistance if we involve the potential change

If we involve the potential change resisters in

People who participate will be

With a participative change effort, we listen to the

However, If not managed properly, participation will

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

We should incorporate Facilitation and Support when resistance to change

This approach is useful when the resistance to

No other approach works as well with

By being supportive of employees during difficult

Typically, for this approach, it requires special

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

If the resistance is because someone 1) will lose out due to change or 2)

This approach is for the situation where someone

Sometimes it is a relatively easy way

Managers can combat resistance by offering

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

If the other tactics wont work or are too expensive,

It can be a relatively quick and

Co-optation involves bringing a person into a

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

Lastly, coercion can be usedbut only if speed is essential and as a last

Explicit and Implicit Coercion can be used where

It is speedy and can overcome any

With this approach, managers can explicitly or

Can be risky if it leaves people angry

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

This document is an exclusive document available to FlevyPro members - http://flevy.com/pro

We can think of the strategic options available as a continuumone end

Not clearly planned at the

Exactly where a change effort should be strategically positioned on the

The position of the initiator

The locus of relevant data for

The stakes involved

All other factors being equal, the greater the anticipated