1. Seven core factors are key to
counteracting the frequently
encountered pitfalls to
change management.
Keeping Change
on Track
Richard Bevan
I t’s rare to find a business leader
who is not involved with planning
or managing a change process of some
in relation to a set of seven core factors
typically present in successful change.
Before reviewing those factors and
kind. Whether major (a plant shutdown, the questions we will briefly consider the
merger, installation of a new IT system) or nature of change within organizations
on a smaller-scale (engagement of a new and the reason that—more often than
leader, sales force reorganization, new not—the process doesn’t run entirely
compensation plans), change can raise smoothly.
questions and concerns, present opera-
tional challenges, and impose demands Why Is Change So Often a Challenge?
on time and resources. The cost of man- The characteristics and processes that
aging the process may increase greatly predict effective adaptation to change
if attention is diverted from day-to-day have been defined and described by
work with customers and prospects. many leaders, researchers, writers, and
We often see significant changes educators. At its most basic, effective
implemented with scant attention to management of change requires leaders
identifying and addressing the challenges to be very clear about the purpose and
it may create among those involved, the the process; seek input and information
questions it will raise, and the issues from those involved and affected; deploy
and needs it will generate. As a result, sufficient resources to manage the transi-
many change efforts stumble, and some tion without losing focus on day-to-day
fail entirely. For example, Peter Senge business processes; and maintain an
states that two-thirds or more of total effective multi-directional flow of com-
quality management (TQM) programs munication and information.
and reengineering initiatives fail.1 John The attributes are straightforward,
Kotter noted that few of the companies he readily implemented, and perhaps
studied were successful in making major considered self-evident. Most people
changes to their ways of doing business.2 manage change continually: at home,
A simple series of questions will in recreation and volunteer activity, and
enable you to assess quickly where the at work. They have an intuitive under-
process is going well and where it might standing of what needs to happen if
need strengthening. These questions change is to move forward. Even if they
assess the status of the change initiative haven’t consciously thought about or
4 The Journal for QualiTy & ParTiciPaTion April 2011

2. documented the principles, they do what makes For example, change rarely succeeds without
sense. They consult people, discuss the alternatives, a clear awareness of purpose and process. People
try to anticipate and plan around the obstacles, need to understand why the change is needed, how
adapt their plans as needed, get on with it, and it will be accomplished, their role in the process,
address issues and challenges along the way. and what it means for them at an individual level.
Yet when organizations implement change, these
straightforward needs are often missed. The intent Case History: Anticipate the Issues and
and the broad strategy get the attention; the details Plan the Response
of execution are forgotten. We repeatedly see change A medical-equipment company was expand-
initiatives within organizations stumble and some- ing quickly by internal growth as well as through
times fail entirely. We see participants in the process acquisitions. The announcement about consoli-
who are unclear about the purpose, the impact, and dating into a single new Midwest plant (from
their role. We see insufficient resources assigned several locations in the United States and Mexico)
to much-needed systems changes or to prepare or raised many questions and concerns across the
train people for new roles and behaviors. We see organization.
managers and supervisors unable to respond to Would people lose their jobs or face reloca-
questions and concerns from their teams. tion? How would the organization retain expertise
If the core needs are well known—and perhaps and apply it in the new plant? Was the change
even intuitive—why does change within the orga- motivated by cost reduction and, if so, what other
nization so often present such challenges and run approaches were explored? What impact would
into difficulties? Part of the reason is that leaders this have on production cycles, product lines, and
and sponsors of change initiatives already face development teams? How would this affect pay
a heavy workload and multiple initiatives and and other conditions?
activities. They rely on the so-called “memo and A transition steering group was asked to develop
conference call approach” and assign far too few the implementation plan. As the leader com-
resources to managing the process of transition. mented, “There wasn’t much source information
Significant change calls for proportionately for us. The board made the decision based on a
significant effort and resources: for planning, com- presentation from the planning team. They talked
municating, training, and many other activities. In about industry economics and financial implica-
some cases, and especially where there is resistance tions but didn’t get into the implications for the
to the change, the process of persuasion, engage- organization and our people—how we would
ment, and adoption calls for continuing time and actually get this done. And the rationale hadn’t
commitment from managers at all levels. Initiating been summarized in a clear and concise way.”
change will likely create a complex and extensive The team interviewed key executives for brief
set of issues, questions, and unresolved concerns. outlines of purpose, rationale, process, and imple-
These, in turn, create the need for a continuing mentation steps. They conducted research among
and demanding process of explaining, discussing, employees and other stakeholders (including cus-
persuading, and planning. tomers) to explore and understand their reactions
Many years of working with change provided to the planned changes and the implications.
opportunities to generate a substantial list of the The resulting database of questions, issues, and
potential pitfalls. We have also seen the tactics, ideas provided the raw material for developing
strategies, and processes that provide a positive responses and action plans. The implementa-
effect and enable change processes to succeed. tion plan was built on this foundation, including
These inputs suggest a framework of characteristics activities to address training needs, manager
or attributes that can guide successful management support, alignment of reward systems, communi-
of change. Of course, no single element in this cation programs and processes, and many other
framework—or even several of them—can guar- actions in support of the change.
antee a successful outcome. The absence of even The research jump-started planning, identified
one will certainly lead to difficulties, and absence major issues to address, and clarified priorities.
of more than one will cause the challenges to grow It provided a clear starting point and foundation
exponentially. for implementation planning. Follow-up research
www.asq.org/pub/jqp 5

3. in specific areas and functions evolved into a key
change-management tool. Webinar: A Fresh Look at
Some of the Pitfalls Managing Change
Change is often imposed without advance It is ironic that most of us know intuitively
assessment of the issues, questions, concerns, and how to manage change—be clear about pur-
ideas of the stakeholders—those most involved pose, listen effectively, involve those affected,
and most able to influence the outcome. Yet and communicate continuously—yet some-
if questions remain unanswered and concerns how many change initiatives falter or fail.
unaddressed, employees may be distracted and In part, it’s because attention is paid to the
distressed. This carries a high potential cost. How strategic need for change, and the broad
often have we experienced the frustration of deal- solution; but too few resources are applied to
ing with a distracted employee in a business execution, to actually getting it done.
providing a product or service? Very often, a poorly In this webinar, the author of Changemaking:
managed change process lies behind that negative Tactics and Resources for Managing Organizational
customer experience. Change will provide background on the chal-
Even if change efforts are well planned and lenge of change, set out a simple framework
executed, those involved and affected will ask to guide planning for change, and provide
questions and analyze purpose and implica- ideas and guidance about how to deploy it.
tions. This is especially true if they haven’t been Richard Bevan will also cover the following
involved in the planning. “They never consulted topics:
me,” is a common refrain, and it will slow down
• Insights into the reasons change efforts
the process and create challenges and additional
succeed or fail.
workload for line managers. Acknowledging the
• Approaches to assess the status of a change
level and nature of concerns and questions and
initiative that is in progress.
building a degree of involvement can also pro-
vide insight and information about how best • Key factors in successful change, including
to manage the process. The energy and focus of strategic clarity, stakeholder engagement,
employees, frequently encountered as a challenge and sustained communication.
or obstacle, can be harnessed and turned into a To learn more about this webinar, go to
powerful tool for change. http://www.asq.org/pub/jqp.
Following are a few of the pitfalls that cause
change to get off track:
• Ineffective or missing business case: Managers opportunity to ask questions, offer ideas, or
communicate a case for change that is unreal- engage in discussion about the changes.
istic or incomplete; it isn’t readily understood. • Line management support not built: Line manag-
Here is one of many areas where a robust, ers don’t support the direction and approach.
concise business case document is invaluable. They share the uncertainty and concerns of
• Costs not recognized: The costs of implementing employees and need to be informed, per-
and supporting change are not planned for or suaded, and engaged.
adequately acknowledged. Resources need to • Lack of insight into stakeholder issues: Leaders
be allocated, workloads adjusted, and respon- assume they know what people think. They fail
sibilities reassigned. to identify key concerns and obstacles. They
• Systems not aligned: Existing processes and sys- need to listen informally, and at an institutional
tems (e.g., rewards, training, and information) level, to the questions and concerns of stake-
don’t support the new model. Change ripples holders and (most importantly) to their ideas.
across many areas and functions, and these • Minimal involvement: Input, questions, and ideas
need to be aligned with the new direction. aren’t recorded and documented. As a result,
• Limited and one-directional communication: responses and tactics don’t reflect the needs. A
Leaders expect to persuade and inform by one- continually revised FAQ document, available
way communication. Audiences have limited online, can be of great value.
6 The Journal for QualiTy & ParTiciPaTion April 2011

4. • Success assumed: Leaders make a premature the details were overlooked; maybe most of the
assumption of success and fail to follow up, details; sometimes, all of them. In many change
support, and drive continuing change. initiatives, large-scale and small, at least one of the
Awareness of these and other pitfalls doesn’t core principles (and, typically, several of them) is
ensure success, but it does provide ideas about not followed.
where change most often gets off track and oppor- Senior leaders often say of their employees,
tunities to implement course corrections. Each “They’re smart; they’ll figure it out.” Yes, they are
pitfall has a positive counterpart—a proactive indeed smart. They figure out that the direction
measure to support and facilitate change. isn’t clear and the planning is imperfect. They
discover that those leading the initiative, already
Core Factors in Successful Change Management committed to a heavy workload, have little time
These seven factors summarize the conditions, to focus on the new task. They figure out that they
resources, and processes that support successful need a great deal more convincing that this is a
change. change that warrants their involvement.
• Clarity. Be clear and unambiguous about the The details are what make change work for
purpose of the change, its direction, and the those whom it impacts most sharply. It’s hard
approach. work to make a significant additional effort while
• Engagement. Build a sense of ownership, belong- continuing to run a complex business, but there’s a
ing, and commitment; consult with and involve high price if that effort is not sustained. Employees
the people who will be affected by the change. get distracted and unmotivated; customers’ needs
• Resources. Put the needed resources in place get ignored or forgotten; and questions, issues,
(e.g., financial, human, and technical) to enable concerns, and distractions consume managers.
the change. Change can happen without all seven core
factors in place, but it’s likely to be difficult, expen-
• Alignment. Ensure that systems and processes
sive, and painful—for your customers as well as
(e.g., rewards, information, accounting, and
your employees.
training) support the change.
• Leadership. Guide, train, and equip leaders at A Simple Assessment Framework
every level so that they display consistent com- The questions below can be asked and answered
mitment to the change. informally, in a series of conversations or discus-
• Communication. Facilitate an effective two-way sions with those involved, or more formally—for
flow of information; be aware of issues and example, through an online survey of stakeholders.
questions; provide timely responses. They provide a means of quickly assessing status
and key issues, with the negative items offering
• Tracking: Establish clear goals; assess progress
a guide to where attention is needed to keep the
against these; adjust and fine-tune as necessary.
process on track.
The set of factors listed here aligns with models
At the least, the areas of concern offer direction
and frameworks developed and applied by many
for additional research and study. The data can
writers, educators, and leaders. These include John
serve as a primary driver of planning. The issues
Kotter2 and Daryl Conner,3 as well as Kurt Lewin,4
and questions you uncover in the research process
one of the earliest commentators on change and
will determine the activities (including communi-
still fully relevant. The challenge doesn’t lie in
cation, process support, and training) that form
understanding the process, or even in putting
your tactics for redirection.
together an effective plan: it’s in putting the plan
Following are the assessment questions—two
into action and sustaining the effort.
for each factor, one primary and one secondary
Making It Happen or follow-up—together with some examples of
“Everyone knows you have to do these things” tactics that support positive outcomes.
is a frequent comment when the elements of suc- • Clarity. Are the purpose, direction, and approach
cessful change management are outlined. When defined and documented clearly? Are these
we ask if those elements have been put into understood and accepted by key stakeholder
practice, it often turns out that perhaps some of groups?
www.asq.org/pub/jqp 7

5. • Engagement. Have you engaged individuals and • Distribute the summary. Use it as a platform
groups who can influence the outcome by on which to build all communication (internal
involving them in the process? If so, have and external) related to the change.
you acknowledged their input and ideas and • Create a brief elevator pitch for managers—
applied them to planning and action? what’s changing and how the transition will
• Resources. Are needed resources (e.g., financial, be accomplished.
human, and technical) in place and available? • Develop other tools to assist in the process; for
Is a strong and effective team ready to lead and example, a brief PowerPoint® deck for execu-
guide the change process? tives and others to use in discussing the changes
• Alignment. Do systems and processes (e.g., with their teams.
rewards, information, accounting, communica- • Provide managers with talking points and sug-
tion, and training) support the change? Have gested responses to key questions.
you identified, developed, and implemented
• Maintain and manage the summary. Seek input
needed changes to these systems?
and comment; keep it current, accurate, and
• Leadership. Are leaders at all levels of the orga- complete.
nization involved in and committed to the
• Provide online access to the current version and
change? Do leaders and managers follow up
enable input, questions, and discussion.
on issues, provide guidance and support, and
proactively manage the process? Leadership
• Communication. Is clear, timely, and complete • Ensure that the primary sponsor(s) of the
information available to stakeholders involved change (in some cases, and certainly for major
in and/or affected by the change? Do these changes such as mergers or acquisitions, this
groups and individuals have access to informa- may be the chief executive) is visible, accessible,
tion and a way of providing input and feedback? and driving the process consistently.
• Tracking. Are systems in place to assess progress • Engage leaders at other levels in planning and
and identify issues to address? Are adjustments implementation; provide guidance and training
implemented as necessary and is information as needed.
continuing to flow? • Encourage leaders to promote behaviors and
Tactics for Supporting the Change Process actions that will support the change.
The responses to these questions will suggest • Implement processes and activities to maintain
areas for action and perhaps offer ideas for some leadership engagement—for example, weekly
of the actions themselves. Ideally, ask the ques- conference calls, regular e-mail bulletins, online
tions in a manner or setting that permits responses forums, blogs and other interactive media, and
that go beyond a simple answer to the question. planning-review meetings.
For example, if they’re raised in a discussion led • Address concerns that leaders may have about
by a team leader, there is an opportunity to ask their roles and responsibilities in and after the
team members what ideas they have for facilitat- change process; provide guidance, tools, and
ing, supporting, and driving the change. The result support.
is that awareness of the change process status is
complemented with ideas for addressing issues Manage Change Before It Happens
and correcting issues and problems. Many strategies for managing change are not
Every change is different, but some consistent proactive; they focus on the defined period when
themes emerge. Following are just a few examples, change is actually occurring. These include the
relating to two of the seven factors, of actions that phase following an acquisition, process redesign,
can support and refresh the change effort. division-wide reorganization, or the response to
a competitive threat. Such change management
Clarity efforts often fall short of expectations in terms of
• Develop and distribute a summary document to accomplishment and employee satisfaction. You
drive clarity and serve as a reference source on can’t always create the core factors in successful
the purpose and process of change. change at short notice: They need to be in place.
8 The Journal for QualiTy & ParTiciPaTion April 2011

6. Change Making: Tactics and Resources for Managing
Organizational Change
Author: Richard Bevan Or it can be on a larger, even corporate-wide
Abstract: This book contains scale, through meetings, surveys, social media,
information that the author focus groups, or a combination of methods. If the
developed during his years most important stakeholder group is employees,
of consulting and teaching. ask them what they think about what’s happen-
It includes guidance ideas, ing, what their concerns are, what they need and
short case studies, and a vari- what they think should be done. You’ll learn fast;
ety of resources. Amazon.com you’ll have answers to your own questions; and
describes the change issues you’ll have the raw material for a plan to address
addressed by Bevan, “It’s ironic that while most the issue, solve the problem, or lead the change.
people know what conditions need to be in place And then make it all work through sustained
for effective management of change, these straight- follow-up. Never assume that things will happen
forward needs are often missed. The intent gets the as planned. Is the change working? What needs to
attention; the details of execution are forgotten. happen to make it work better? What’s working
The elements are simple: listen to the stakehold- well and what’s not? Assess progress; fix it; keep
ers, learn about the issues, lead with clarity and listening, learning, and leading.”
involvement, align systems, communicate relent- Publisher: CreateSpace
lessly, follow up, and course correct. Consider ISBN: 978-1449969981
who will be most affected; ask questions and
listen carefully to the responses. This can be on a Format/Length: Softcover, 224 pages
small, local scale, through informal conversations. Price: $24.95
Change comes more readily to the organization 4. Kurt Lewin, Resolving Social Conflicts: Selected Papers on
that has: Group Dynamics, Harper & Row, 1948.
• A clear mission and strategy that guides and
informs the goals of teams and individuals.
• Supportive leaders at every level who effectively
engage, motivate, and communicate with their
teams.
• Employees who are engaged, informed, and
involved.
Richard Bevan
Creating change readiness means managing in After early experience in manufacturing management,
a way that encourages engagement, commitment, Richard Bevan worked for Towers Perrin (now Towers
aspiration, and adaptability. A transition is far Watson) in Europe, Australia, and the United States,
more likely to achieve success when the leadership including five years leading the firm’s worldwide
style, work climate, and environment are already communication consulting practice. In 1995 he started
receptive to change. his own firm, C2K Consulting. He was an external faculty
member for the University of Washington Executive
References MBA program where he developed and taught a course
1. Peter Senge, The Dance of Change, Doubleday, 1999. in managing change. He currently serves on the board
2. John Kotter, Leading Change, Harvard Business School of advisors for ROI Communication and as strategic
Press, 1996. communication adviser for Elliott Avenue Associates.
3. Daryl Conner, Managing at the Speed of Change, Random This article draws on material from his new book
House, 1992. Changemaking. Contact Bevan at info@changestart.com.
www.asq.org/pub/jqp 9