Kotter’s 8 Steps of Change, part 1

Kotter’s 8 Steps of Change, part 2 ›

In June 2011 I introduced Kotter‘s model of change which presents a people-driven approach to problem solving.

The model comprises eight overlapping steps. The first three are all about creating a climate for change. The next on engaging and enabling the organisation. And the last, implementing and sustaining change.

Eight Steps of Change

From experience I have learned that successful change occurs when there is commitment, a sense of urgency or momentum, stakeholder engagement, openness, clear vision, good and appropriate communication, strong leadership, and a well executed plan. The Eight Steps of Change model recognises each of these characteristics.

I highly recommend you read The Heart of Change. Whether you are a senior executive, in middle management or part of a project team their research, which is backed up with stories – mini case studies –  and exercises, is invaluable. The reading provides straightforward advice that makes much sense – undoubtedly you will have observed what they write about. Here’s a précis of the first three chapters.

Creating a climate for change

Many initiatives fail or at best fall short of their original aim because the organisation either lacks interest in the proposed change or spends too much energy resisting the change process.

Increasing urgency – We often see change initiatives beginning with detailed analyses, the preparation of a hefty business case, and subsequent approval by corporate management. Unfortunately this energy is often wasted and does very little to move the organisation toward change. The assumption is that information and analysis followed by executive management approval is enough to change behaviour. It’s not!

Whilst these may be necessary organisational steps they are not needed… now. Getting the bosses’ approval and presenting new ideas to disinterested business units rarely secures agreement and inevitably results in resistance (see Resistance is Futile.) For instance, complacency, immobilisation, self-protection, deviance, pessimism, and holding back. The change doesn’t start well.

Urgency sustains change

Rather than shoving a project down the throats of operational managers change leaders need to generate a sense of urgency about the task in-hand and get the right team together to deliver change.

Crisis... What Crisis?

Change comes about because there is some underlying crisis: customers are unhappy, costs are rising, budgets are cut, competitors have the advantage and so on. Analysis has the effect of putting the breaks on. Yet crisis has to be dealt with. Sorting out a problem provides the platform to get people talking about what needs to change.

The Heart of Change suggests that we need to break from tradition and start using compelling, eye-catching situations to visualise problems and solutions. Honest facts and dramatic evidence  - customer and stakeholder testimonies – show that change is necessary. Seeing something new hits people on a deeper emotional level without the usual negative responses and resistance.

Building the guiding team – Creating a sense of urgency helps to bring the right people together. And getting the right people in place is about getting the right team, commitment and trust to do the job. This is what step 2 is all about. Moreover, it’s about confronting issues that are traditionally avoided.

This means emotionally honest and open behaviour, speaking the unspeakable, connecting to the feelings of others, and doing so without fear of reprisal. For instance, what can you do if management doesn’t even admit that a problem exists? Most likely you will skirt around the issue and continue to build on a culture of mistrust. But organisational politics doesn’t have to result in ducking and dumping.

Before you can begin to build a guiding team – with the right skills, leadership capacity and credibility – someone has to persuade people that something needs to happen. That is, to face the issue. This may seem counter-intuitive. However, successful change doesn’t happen unless there is open and honest dialogue. Consequently, it can be a good thing to have periods of conflict which bring out the best (and worst) in people because a change leader will almost certainly emerge – someone who feels great urgency, pulls people together, and defines the guiding team.

Unfortunately this doesn’t happen very often. Usually top management approve a project or change initiative and hand over responsibility to a senior manager who then form a pseudo project team or task group to manage the work. Rarely are this effective structures. They are made of the wrong people and usually have complex and unworkable governance arrangements. What’s more, most team members have other jobs to do and are unlikely to be fully committed to the change.

Change Is Possible

Of course, everyone is polite. And they say the right things. But words rarely translate into concrete actions when trust is low. People rarely say what’s on their mind, problems surface, and so does blame! Therefore members of guiding teams must learn how to be trusting and candid with each other. In his book Kotter uses a brilliant story by Roland de Vries to illustrate how hopelessly difficult teamwork problems can be overcome with courage and confidence in conviction. Only then can the guiding team give a clear sense of direction.

Getting the right vision – What is our vision for the future? What change is needed? What do we need to do to realise our vision? Good answers to such questions will help the organisation to make the future they want more probable. Yet so many people create no vision or sense of direction for change. We’re back to the tome of a business case – plans and budgets that do little to show the future.

If you wish to make a future you must make it more probable

We need to remember that by creating compelling, eye-catching situations it is easier for others to see problems and solutions. Creating a vision that can be conveyed in a matter of minutes is going to move people into action much more effectively than detailed analyses ever will.

However, large scale change is difficult – it’s a venture into the unknown – and needs to be done correctly. We need to take an unorthodox approach and avoid over analytic, financially-based visioning exercises. Instead develop a vision that moves people and pay lots of attention to the speed in which you can introduce change. Prepare this way: first prepare a vision that takes you to an end state, second a strategy to show you how to achieve the vision, next step-by-step plans to carry out your strategy, and finally budgets to make sure you can afford your plans.

Kotter’s 8 Steps of Change, part 2 will follow soon and cover steps 4 through 6: Communicating for buy-in, empowering action, and creating short-term wins.

Kotter’s 8 Steps of Change, part 2 ›

Images: Kotter, John P. and Cohen, Dan S. The Heart of Change. Boston: Harvard Business School Press, 2002, PaulyB71/ Flickr, isafmedia/ Flickr.

Related articles

• Leading Change – dealing with fears and facing up to resistance (wisewolftalking.com)
• Leading Change – knowing what a sense of urgency really means! (wisewolftalking.com)
• Your Sense of Urgency (thinkup.waldenu.edu)
• Reading:Our Iceberg is Melting by John Kotter (tpgp.wordpress.com)