CHANGE MANAGEMENT

OCTOBER 2004

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Dr Bill Lockitt
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 CONTENT

Page
Introduction 3
Executive Summary 3
Change management approaches and strategies 4
Factors affecting the choice of change strategies 7
Opposition to change 9
Creating a climate for change 10
Conclusion 14

This is the fourth in a series of occasional papers produced by 3T Productions that highlight and discuss issues facing
Post 14 Education and Training. If you would like to be placed on the mailing list to receive further papers please e-mail
blockitt@3t.co.uk.

We would also like to receive feedback on the papers and if you would like to comment or have a topic you think would
make an interesting paper please e-mail blockitt@3t.co.uk.
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Introduction
Welcome to the fourth occasional paper by 3T Productions. The third paper, produced in August 2004,
‘USING ICT TO DEVELOP THE 14 to 19 CURRICULUM’, ended by highlighting the need for ‘managers
with a high level of leadership, change management and relationship skills’ in order to implement the
changes being recommended by Mike Tomlinson for the reform of 14-19 education and training. I have
therefore continued this theme and the subject of this paper is one of change management approaches
and strategies.

Executive Summary
The introduction of technology, increasing needs of society and the growth of ‘global’ organisations
trading in goods, knowledge and expertise has increased the need for, and frequency of, change.
Although the majority of people are resistant to change, more and more are finding themselves affected
by it and having to come to terms with the issues and benefits it brings. Effective change management
cannot therefore be underestimated and its implementation needs considerable thought and
commitment by senior managers. This paper discusses some of the issues surrounding change
management and highlights some simple techniques commonly used.

Practical activities are included in order to reinforce the techniques discussed and allow the reader time
to think through the implications of the changes made within the simulations before embarking on real
life projects. They will also highlight, to those affected by change, how and why decisions are being
made and what approach is being used.

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CHANGE MANAGEMENT APPROACHES AND STRATEGIES

There are a number of ways to approach change and there is no one strategy that will suit every
eventuality. The strategy chosen to affect change should be the most appropriate for the particular
change you wish to implement, within the circumstances facing you.

Five different broad approaches to affecting change are shown below, based on work done by Thurley
and Wirdenius1 (1973).

1. Directive strategies
This strategy highlights the managers’ right to manage change and the use of authority to impose
change with little or no involvement of other people. The advantage of the directive approach is that
change can be undertaken quickly. However, the disadvantage of this approach is that it does not take
into consideration the views, or feelings, of those involved in, or affected by, the imposed change. This
approach may lead to valuable information and ideas being missed and there is usually strong
resentment from staff when changes are imposed rather than discussed and agreed.

2. Expert strategies
This approach sees the management of change as a problem solving process that needs to be resolved
by an ‘expert’. This approach is mainly applied to more technical problems, such as the introduction of a
new learner management system, and will normally be led by a specialist project team or senior
manager. There is likely to be little involvement with those affected by the change. The advantages to
using this strategy is that experts play a major role in the solution and the solution can be implemented
quickly as a small number of ‘experts’ are involved. Again, there are some issues in relation to this
strategy as those affected may have different views than those of the expert and may not appreciate the
solution being imposed or the outcomes of the changes made.

3. Negotiating strategies
This approach highlights the willingness on the part of senior managers to negotiate and bargain in
order to effect change. Senior managers must also accept that adjustments and concessions may need
to be made in order to implement change. This approach acknowledges that those affected by change
have the right to have a say in what changes are made, how they are implemented and the expected
outcomes. The disadvantage to this approach is that it takes more time to effect change, the outcomes
cannot be predicted and the changes made may not fulfil the total expectations of the managers
affecting the change. The advantage is that individuals will feel involved in the change and be more
supportive of the changes made.

1
Thurley,K. Wirdenius,H (1973) Supervision: A Reappraisal,London, Heinemann

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4. Educative strategies
This approach involves changing people’s values and beliefs, ‘winning hearts and minds’, in order for
them to fully support the changes being made and move toward the development of a shared set of
organisational values that individuals are willing, and able to support . A mixture of activities will be
used; persuasion; education; training and selection, led by consultants, specialists and in-house
experts. Again, the disadvantage of this approach is that it takes longer to implement. The advantage
being that individuals within the organisation will have positive commitment to the changes being made.

5. Participative strategies
This strategy stresses the full involvement of all of those involved, and affected by, the anticipated
changes. Although driven by senior managers the process will be less management dominated and
driven more by groups or individuals within the organisation. The views of all will be taken into account
before changes are made. Outside consultants and experts can be used to facilitate the process but
they will not make any decisions as to the outcomes. The main disadvantages of this process are the
length of time taken before any changes are made, it can be more costly due to the number of meetings
that take place, the payment of consultants/experts over a longer time period and the outcomes cannot
be predicted. However, the benefits of this approach are that any changes made are more likely to be
supported due to the involvement of all those affected, the commitment of individuals and groups within
the organisation will increase as those individuals and groups feel ownership over the changes being
implemented. The organisation and individuals also have the opportunity to learn from this experience
and will know more about the organisation and how it functions, thus increasing their skills, knowledge
and effectiveness to the organisation.

Although the five change strategies have been described independently they are not mutually exclusive
and a range of strategies can be employed to effect change. Part of the skill of effective change
management is to recognise what strategy/s to employ, when, where and how to use them in order to
be most effective. Other issues such as health and safety, accessibility and union representation will
also need to be taken into consideration when undertaking change.

The information shown in Table 1 summarises the five change management strategies and their main
advantages and disadvantages.

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 Table 1 Overview of the five change management strategies

Strategy Advantages Disadvantages

DIRECTIVE Relatively fast Ignores the views of those
affected by change
FAST
EXPERT Use relevant expertise. Expertise may be challenged. Clearly
Small groups required. Resistance of those not planned.
Relatively fast to consulted. Little
implement. involvement
of others.
Attempt to
NEGOTIATED Change recipients have May be relatively slow. overcome
some say. Anticipated change may have to resistance.
Resistance to change likely be modified.
to be reduced (or areas of
disagreement highlighted)

EDUCATIVE People committed to Relatively slow.

change. Likely to require more resources
and more costs involved.
SLOW
PARTICIPATIVE Change more likely to be Relatively slow to implement. Exploratory.
accepted. More complex to manage. Involvement
More people committed to Will require more resources. of others.
change. Increased costs. Minimise
More opportunities for resistance.
individual and
organisational learning.

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 Activity 1 Change Management – 10 to 15 minutes
During your career you will, at some point, have been affected by change. At the time you may have
wondered what was going on and how these changes were being identified and implemented. During
this activity I should like you to think about a period of change that affected you, or you helped to
implement, identify the number of change strategies employed and the reasons they were used. You
may also want to identify, in hindsight, what strategies could have been employed that would have
assisted the process.

Brief description of the change that took place:

What change strategies were Was the strategy Was the outcome better? What could have been done to
employed? effective? If not why? If not why? make the change more effective?

FACTORS AFFECTING THE CHOICE OF CHANGE STRATEGIES

There are a number of factors that will affect the choice of the change strategies employed, part of the
skill of a change manager is recognising the correct strategies to employ, how many and when to
change from one to another. However, there are some common factors that will tend to influence choice
and these include:

¾ the urgency of the need for change – the stronger the threat or importance of change the
stronger is the case for quick change strategies;
¾ the degree of opposition or resentment – the more opposition you expect to the changes the
more appropriate are strategies that involve the largest amount of key people. The rate of
change also needs to be considered as this strategy may be slow;
¾ the power of the individual/group initiating the change – it may be possible to implement fast
change strategies, even if there is opposition, if the individual or group initiating the change is
powerful enough;
¾ the necessity for information and commitment – if the change can only be achieved and
sustained by the commitment and education of those affected full involvement in the change
process is essential.

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 Activity 2 Managing change – 15 to 20 minutes
During this activity assume you are the person responsible for implementing change and identify the
change strategy/s you would employ, the reasons for your choice and any possible issues that could
arise as a consequence of your actions. You can use the scenarios shown below or one that is affecting
you now that you would like to analyse further.

Scenario Change strategy Reason Possible issues

A company that is in profit, has a
skilled workforce, a full order book
for the next six months but has
been making the same product for
the past seven years and is loosing
future work to a competitor who is
using new production methods and
has redesigned the product.
A company with 2000 employees
but will be bankrupt in the next six
months. The product they make is
out of date, as is the technology
they use to produce it. The order
book for the existing product is
empty after the next three months
and although there is still a need for
the product the demand has
reduced significantly during the
past 2 years. A new market has
been identified and could be in
production within three months but
there is a strong resistance to
change.
A national charity that has over
3000 unpaid volunteers throughout
the UK managed by Regional, full-
time co-ordinators. It has 100
shops throughout the UK and
wants to change its image and
support a broader range of good
causes. There has been a great
deal of opposition to any change
from the volunteers and they have
formed a group to stop any
changes taking place. The
Regional manages feel that if the
volunteers were aware of the need
for change they would be
supportive but this is not the view of
the senior management.
An educational institution has been
teaching the same subjects, using
class-based, formal delivery for the
past 10. Management want to
introduce more flexible and open
learning courses and support them
using drop-in workshops, e-learning
programmes on CD/Web, work-
based learning and on-line
assessment. Staff are resisting
change and industrial action is
being discussed.

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OPPOSITION TO CHANGE
All too often managers see opposition to change as being negative and those resisting change as
troublemakers who need to be converted. However, Kotter and Schlesinger 2(1979) put forward several
reasons why individuals resist change:

¾ loss of control – when individuals feel that change is being done to them rather than done by
them;
¾ loss of face – when the changes being suggested result in people loosing face or status;
¾ loss of identity – people build an identity around their role and do not like any loss of symbols,
tradition or status;
¾ loss of competence – people do not like having their competence challenged or being put into
situations where they lack the necessary competences;
¾ excessive personal uncertainty – where the individual is not aware of how the changes will
affect them;
¾ surprise – people do not like unexpected change;
¾ more work – change normally means more work for those left;
¾ past resentments – people can resist change from individuals or groups they have had a bad
experience with in the past;
¾ unintended consequences – when change in one area has a knock-on effect in another;
¾ real threats – when change threatens an individual or group directly.

How to reduce the opposition to change?

¾ Don’t make changes that are unnecessary

¾ Listen to the reasons being put forward not to change
¾ Make sure people know why the changes are necessary, how they will be made and who will
be affected
¾ Communicate the changes to everyone involved
¾ Educate them to the reasons for change
¾ Make sure everyone affected participates and is involved in the change management process
¾ Identify and support people that need more information and education
¾ Negotiate and bargain rather than dictate
¾ Build up support groups and alliances
¾ Identify and work with key people within the organisation
¾ Highlight and discuss what will happen if the changes are not made

2
Kotter,JP. Schlesinger, LA. (1979) ‘Choosing strategies for change’, Harvard Business Review,
March/April, pp.106-14

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CREATING A CLIMATE FOR CHANGE
It is far easier to affect change if a climate of change already exists and it is seen as a natural part of the
way the organisation functions. It will be much easier if previous changes have been effective and
positively received as this will smooth the path for future changes. One way of effecting change is to
make them small and on a regular basis, ensuring each change is well received and effective will make
it easier to implement future changes. Another method is to create a crisis, a feeling that things cannot
remain as they are, and if changes are not made quickly the whole system will collapse. The latter may
seem a little extreme to some but I am sure we can all think of a change that has been, is being,
brought about using this method.
A few simple ways of introducing effective and acceptable changes are:
ƒ try to identify small but effective changes, these can help you introduce the idea of change and
create a climate for change;
ƒ identify like minded and influential people who are receptive to change and work with them to
bring about the change;
ƒ reward and celebrate the changes made;
ƒ ensure as many people as possible have ownership over the change process and outcomes:
ƒ reduce the fear of change, encourage innovation, eliminate any ‘blame culture’;
ƒ provide staff development, training, mentoring, job shadowing, benchmarking and other
activities to encourage an outward looking approach to change;
ƒ raise the issues and give people time to think about solutions, don't force the decision-making
process;
ƒ give people enough time to come to terms with the possibilities and outcomes of the change.

Any change, be it large or small, will require support from a wide range of people across the
organisation and each person may take on a number of different roles in relation to the change process.
Some examples of the role and part they play in relation to change are shown in table 2.

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Table 2
ROLE DESCRIPTION
Chief executive
The CEO (or equivalent) is the ultimate source of authority behind the change.
For large scale changes others may be delegated responsibility but the CEO
will have the final say.
The CEO must therefore:
ƒ demonstrate commitment to the change and ensure that the change
sponsor accepts ultimate responsibility for its successful
implementation;
ƒ be an active champion of the change.

The Change Sponsor

This will be someone who has the authority, seniority, power, enthusiasm, and
time to lead, carry through, and oversee the changes. The change sponsor
may not get involved with the day-to-day management of the change but
should support and monitor progress.
The change sponsor must ensure that the necessary resources are available
throughout the change process and accept ultimate responsibility for the
successful change implementation.
They should:
ƒ agree the change strategy and approach;
ƒ be an active champion and role model for others;
ƒ Monitor and communicate change progress to interested parties.

The Change Manager

Should be someone with the knowledge, skills and expertise to lead the
change. They may be an experienced project, or change manager, within the
organisation or, possibly, brought in from outside with specific responsibility
for managing the change.

The change manager will have day-to-day responsibility for the

implementation of the change, and:
ƒ designs the change process, strategy and approach, and agrees
these with the change team.;
ƒ takes responsibility and manages the change progress on a day-to-
day basis;
ƒ designs the communication strategy and contingency plans for the
change;
ƒ monitors progress;
ƒ facilitates key events to build commitment for the change;
ƒ liaises up and down the organisational structure.

The Change Agents

Change agents are responsible for facilitating the change by:
See table 3 ƒ gaining commitment for the changes;
ƒ facilitating evaluation activities;
ƒ monitoring and reporting progress of change;
ƒ consulting and identifying bottlenecks/ sources of resistance;
ƒ disseminating lessons learned.

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Table 2 continued
ROLE DESCRIPTION
The Change
Champions Change champions are normally those individuals that are early adopter and
supporters of change and believe that the changes being discussed will be
beneficial to the organisation. They will normally be members of staff that will
also be affected by the changes being implemented and therefore have some
ownership over the changes being proposed. The change manager must
decide how to use, and reward, the enthusiasm and support of the change
champions. The change champions will speak positively about the change,
show that it can be done and support colleagues at an informal level. They
give recognition when new behaviours are demonstrated.

The Change Team The group of staff charged with implementation the change - they must have
the confidence of both the management and the staff affected by the change.
They:
ƒ will be drawn from all areas affected by the change;
ƒ demonstrate commitment to the change;
ƒ will need to be given the time and recognition to undertake the role;
ƒ support the change manager in undertaking his/her role and
responsibilities.

Change participants
All those affected by the change. They will need to know the reasons behind
the change as well as the intended affect on them and their working practices.
An overlap of roles is not uncommon - while acting as part of a change team,
colleagues will most likely act as change participants as well - making
changes to their own practices.

General factors to be considered when apportioning roles include:

ƒ getting the balance of the team right;
ƒ providing sufficient time to undertake the expected roles;
ƒ meeting any training needs for the new roles.

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Table 3
The following seven winning characteristics of the successful change agent is derived from a study of
the implementation of change in higher education3.

Has a sense of purpose

ƒ Is fully aware of the need to change.
ƒ Has a vision of what can be achieved.
ƒ Is realistic about the scale and timescale for change.
ƒ Is flexible about the means to achieve the change.
ƒ Understands the change process.
Has the capability to Act
ƒ Has leadership and interpersonal skills, with political awareness.
ƒ Has a means to promote change (i.e. a role, a project, resources or influence).
ƒ Has knowledge of the institution, its history and its influential characters.
ƒ Develops the influential team.
Sells Success
ƒ Ensures that early successes are achieved.
ƒ Focussed on spreading successful practice.
ƒ Has a communications strategy for selling success.
ƒ Builds appropriate networks to facilitate communication.
ƒ Understands others' priorities in order to offer them clear benefits.
ƒ Offers support and encouragement, not another problem.
Is strategically connected
ƒ Is well connected with sources of power and influence.
ƒ Builds a critical mass of senior or a senior champion.
ƒ Ensures senior links will last and do not depend on one individual.
ƒ Understands the senior management agenda and sells benefits.
ƒ Makes the link between strategy and operations.
ƒ Encourages senior people to learn by experience.
Is critically reflective
ƒ Builds a non-threatening environment .
ƒ Encourages learning from failure as well as success.
ƒ Makes critical reflection a part of all plans and agendas.
ƒ Promotes reflection at every level i.e. personal, team department, and institutional.
ƒ Records important learning points so they don't depend on memory.
Builds supporting structures
ƒ Ensures mechanisms are in place to continue the innovation and to spread it.
ƒ Embeds the innovation by making it an important part of a wider strategy.
ƒ Supports the innovation with appropriate resources for teaching and learning.
ƒ Ensures that future innovation will also be supported and embedded.
ƒ Develops processes to respond to the needs of institutional 'stakeholders'.
Is opportunistic
ƒ Predicts and uses external and internal levers for change, including political forces.
ƒ Makes use of all available resources, including students, employers and alumni.
ƒ Notices and secures external funding which will support (not dictate) the change.
ƒ Encourages innovation, for example with protected money for innovative projects.

3
Hawkins and Winter (1997) Mastering Change: Learning the lessons of the Enterprise in Higher Education Initiative. DfEE

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CONCLUSION

We are all aware of the problems encountered when working with, or managing individuals. When
implementing change each person you come into contact with will have their own perspective of change
and their own individual aims and objectives. The complexities of change management should therefore
not be underestimated. Any change needs to be well thought out, have the support of senior managers,
the support of the majority of those affected and deliver something better than was there before. All too
often changes are made using a ‘top down’ approach and those affected are seldom consulted on the
changes or allowed to feedback regarding the outcomes. However, there are some common principles
that can be used to implement change, both small and large, and there effectiveness can be improved
by having empathy with, and listening to, those affected.

Although the majority of individuals may not embrace continuous change very few will resist change
they see as beneficial to themselves, colleagues or the organisation as a whole. Effective change
management will ensure that the individuals affected are aware of why the changes are necessary, how
they will be implemented, their individual role in the change process and the benefits the change will
bring.

A number of techniques have been discussed throughout this paper and it is hoped that this has
highlighted some of the key aspects of change management and encouraged the reader to delve a little
more into the subject.

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About the author

Dr Bill Lockitt – Account Director (Post 14 education and training)

Bill has responsibility for the development of post 14 education and training at 3T.
Prior to joining 3T in December 2003 Bill spent three years developing e-learning
as part of the government’s ‘learndirect’ and UK on-line initiatives run by Ufi. Prior
to this he managed part of the Quality in Information and Learning Technology
(QUILT) initiative and produced a number of publications for the Learning and
Skills Development Agency (LSDA). Bill has also developed innovative multimedia, flexible and open
learning delivery methodologies as part of an Esmee Fairbairn Fellowship and completed a PhD entitled
‘The effective integration and management of information communication technology within further and
adult education delivery methodologies’ in May 2001. Bill is a qualified ALI and Ofsted Inspector.

Previous 3T Papers

The first paper ‘Unlocking the Potential of Information Learning Technology (ILT)’ discusses
learning styles and how ICT/ILT can be used to enhance the learning experience.

The second paper ‘Adult, Community and Work-Based Learning: e-learning’ looks at the issues
affecting adult learners and highlights how the effective integration of e-learning can enhance the
learning experience.

The third paper ‘Using ICT to Develop the 14 to 19 Curriculum’ highlights some of the issues
associated with the reform of the 14-19 curriculum and the role of ICT.

Please e-mail blockitt@3T.co.uk for back issues.

Feedback

3T is proud to be at the leading edge in the development of e-learning materials, learner and CPD
(Continuing Professional Development) support processes and innovative online assessment solutions.
If you would like to discuss the issues raised in this paper further, or would like to arrange a visit to
discuss individual requirements, we would be pleased to hear from you.

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