The Stages of Change, and How To Use Them For Success
There is a saying –“The only constant is change.” It’s true. What’s also true is the existence of the same four stages in every successful change process, whether that change is a corporate wide initiative, or the introduction of a new management team or leader, or an information system change, or an individual looking to lose ten pounds. While the scope and complexity and value of changes can vary, the stages remain the same – always – everywhere – they do not change. You can ignore the four stages – at your peril; you can resign yourself to them and let them happen – at your peril; or you can plan for and maximize the value of the four stages. The choice is yours – and it is a choice. How can you make them work for you? Read on to see where your organization’s projects and change initiatives fit in the Four Stages, and to see how the Keys To Success can make each of the Stages work for you.
The Four Stages
These Four stages always occur in this order – and they always occur – at least in changes that are successful. In unsuccessful changes, Stage Two is the place where failure most often occurs.
Stage One – Start Up. In any change process Stage One involves the expectations of the architects of change – how much more effective we will be; how much more market share we will get; how much better information flow we will have; how much better we will look. This is the stage where opportunity is identified and turned into action. The expectations have a few things in common: they are seen as improving the enterprise, they all require some degree of change, they are optimistic and aggressive in their time frames for completion, and they assume they will be successful. Often, aggressive goals are set that assume a best possible case scenario for completing the project. This step is characterized by a high level of enthusiasm and commitment and energy and ownership on the part of the architects of the change.
Stage Two - Frustration. In this stage things are not working out as planned, the end result may take longer than expected, certain critical resource requirements were not planned or budgeted. People begin to see that their initial expectations for the project are not going to happen. Resistance to the changes is occurring, although the resistance is usually not obvious. This is the place where energy starts to be lost; schedules start to slip; people start to bail out – this is the danger stage. Frustration replaces optimism. Questions about the value of the change, the need for it and the “how did I get here? “ question are heard. This is the stage where most projects fail – or even worse than that, flounder along sucking up resources and time before finally disappearing.
Stage Three – Renewal. Out of the experiences of Stage Two comes a revised set of expectations and requirements. People who have stayed the course begin to take leadership in getting the project back on track. The resources dedicated to completing the project will be different from the resources that were originally planned. Energy will begin to be directed to getting things done, rather than complaining about what has not been done. This is the Stage where the lessons of Stages 1 and 2 are put to use in reestablishing the change process. This is the critical place for the leadership of the organization to get things back on track – in many cases using a redesigned track. This is where listening skills are at a premium. At this stage, enough experience and feedback is available to allow an assessment of cost/reward and what it is going to take to get the project completed successfully. People become more aware of what needs to be done. Goals are revised, budgets reviewed and changed, decisions on whether or not to proceed are made. This stage is characterized by renewed effort, energy and commitment and a feeling that the process of change is moving forward. The leadership skills and behaviors required for this stage may be different than those needed when the project first started. Hope replaces frustration and positive energy replaces negative thoughts.
Stage Four – Success. The project/initiative is now meeting or exceeding the Stage Three goals and is beginning to provide the return on investment that was envisioned in Stage One. Things are going well, there is a good feeling about where the project is headed and how the project can contribute to the continuing success of the enterprise. Effort is being rewarded with results. Tangible improvements are growing out of the effort being expended. People can sense that the project has moved along and has positive momentum. Recognition for jobs well done occurs. Little successes are becoming big successes. Metrics are looking good and major parts of the project are completed. People start going home before their families are in bed. The Boss is happy with his vision being implemented.
Wouldn’t it be great if that was the way most projects and initiatives work – with successful outcomes that meet the expectations of the organization and its leadership. Many do - but many don’t. Let’s review the Keys To Success to see how success can be assured.
Keys To Success In Every Stage
Key One-The first Key in creating a successful change initiative is to understand that all Four Stages will occur, unless the project dies or founders in Stage Two, and they will occur in the same order every time. Understand that the Four Stages have a life of their own, and nothing you can do will change that. Once you realize that, you can plan to minimize the negative effects and maximize the positive effects – but never forget or ignore the fact that all Four Stages will occur. If you accept that fact you can make them work for you.
Key Two. Always, at every Stage, ensure accountability and responsibility are clearly spelled out and understood.
There is a saying –“The only constant is change.” It’s true. What’s also true is the existence of the same four stages in every successful change process, whether that change is a corporate wide initiative, or the introduction of a new management team or leader, or an information system change, or an individual looking to lose ten pounds. While the scope and complexity and value of changes can vary, the stages remain the same – always – everywhere – they do not change. You can ignore the four stages – at your peril; you can resign yourself to them and let them happen – at your peril; or you can plan for and maximize the value of the four stages. The choice is yours – and it is a choice. How can you make them work for you? Read on to see where your organization’s projects and change initiatives fit in the Four Stages, and to see how the Keys To Success can make each of the Stages work for you.
The Four Stages
These Four stages always occur in this order – and they always occur – at least in changes that are successful. In unsuccessful changes, Stage Two is the place where failure most often occurs.
Stage One – Start Up. In any change process Stage One involves the expectations of the architects of change – how much more effective we will be; how much more market share we will get; how much better information flow we will have; how much better we will look. This is the stage where opportunity is identified and turned into action. The expectations have a few things in common: they are seen as improving the enterprise, they all require some degree of change, they are optimistic and aggressive in their time frames for completion, and they assume they will be successful. Often, aggressive goals are set that assume a best possible case scenario for completing the project. This step is characterized by a high level of enthusiasm and commitment and energy and ownership on the part of the architects of the change.
Stage Two - Frustration. In this stage things are not working out as planned, the end result may take longer than expected, certain critical resource requirements were not planned or budgeted. People begin to see that their initial expectations for the project are not going to happen. Resistance to the changes is occurring, although the resistance is usually not obvious. This is the place where energy starts to be lost; schedules start to slip; people start to bail out – this is the danger stage. Frustration replaces optimism. Questions about the value of the change, the need for it and the “how did I get here? “ question are heard. This is the stage where most projects fail – or even worse than that, flounder along sucking up resources and time before finally disappearing.
Stage Three – Renewal. Out of the experiences of Stage Two comes a revised set of expectations and requirements. People who have stayed the course begin to take leadership in getting the project back on track. The resources dedicated to completing the project will be different from the resources that were originally planned. Energy will begin to be directed to getting things done, rather than complaining about what has not been done. This is the Stage where the lessons of Stages 1 and 2 are put to use in reestablishing the change process. This is the critical place for the leadership of the organization to get things back on track – in many cases using a redesigned track. This is where listening skills are at a premium. At this stage, enough experience and feedback is available to allow an assessment of cost/reward and what it is going to take to get the project completed successfully. People become more aware of what needs to be done. Goals are revised, budgets reviewed and changed, decisions on whether or not to proceed are made. This stage is characterized by renewed effort, energy and commitment and a feeling that the process of change is moving forward. The leadership skills and behaviors required for this stage may be different than those needed when the project first started. Hope replaces frustration and positive energy replaces negative thoughts.
Stage Four – Success. The project/initiative is now meeting or exceeding the Stage Three goals and is beginning to provide the return on investment that was envisioned in Stage One. Things are going well, there is a good feeling about where the project is headed and how the project can contribute to the continuing success of the enterprise. Effort is being rewarded with results. Tangible improvements are growing out of the effort being expended. People can sense that the project has moved along and has positive momentum. Recognition for jobs well done occurs. Little successes are becoming big successes. Metrics are looking good and major parts of the project are completed. People start going home before their families are in bed. The Boss is happy with his vision being implemented.
Wouldn’t it be great if that was the way most projects and initiatives work – with successful outcomes that meet the expectations of the organization and its leadership. Many do - but many don’t. Let’s review the Keys To Success to see how success can be assured.
Keys To Success In Every Stage
Key One-The first Key in creating a successful change initiative is to understand that all Four Stages will occur, unless the project dies or founders in Stage Two, and they will occur in the same order every time. Understand that the Four Stages have a life of their own, and nothing you can do will change that. Once you realize that, you can plan to minimize the negative effects and maximize the positive effects – but never forget or ignore the fact that all Four Stages will occur. If you accept that fact you can make them work for you.
Key Two. Always, at every Stage, ensure accountability and responsibility are clearly spelled out and understood.
Keys To Success in Stage One - Startup
Key –Planning and Preparation. This is where strategy and vision must be communicated by the leadership of the organization, so that goals and expectations and accountability can be defined. If you pride yourself on a “Ready, Fire, Aim” approach, then plan the goals and review steps to create early opportunities for constructive feedback on the “Fire” step and its results. Front end load the process, and the time invested will yield the maximum results. Failed projects start with faulty planning in Stage One, but that doesn’t become evident until the project is mired in Stage Two – and possibly stuck so badly it cannot be renewed.
Key – The selection of the leaders and team members that will start the project is critical – and the blending of behaviors and attitudes and technical and soft skills will ensure success – or jeopardize the project from the beginning. Realize that Stage One leadership requirements may be very different from what is needed in Stages Two, Three and Four – and prepare for that. Good selection at this stage can overcome a lot of other shortcomings. Poor selection can screw up the best plan – without a doubt!
Key -Involvement and Communication. The more the formation of the initiative can be communicated the better. To the extent that the people who will do the work and be effected by the change participate in and are convinced of the value of the project, the greater the probability of creating champions in the organization who will stick with the project through the rough times.
Key -Always maximize Stage One, no matter how tempting it may be to shortcut. The initial energy and commitment generated in Stage One can carry the project for a long time. This is the point where goals need to be established that define and measure success. Plan regularly scheduled reviews so you can keep access to the project without appearing to be acting only on negative exceptions.
Key –Celebrate small successes. Design the project so the steps along the path can be recognized and rewarded – for many people, rewards while on the journey are essential to continued motivation. Recognize that individuals may not have the capability to see the progress of the entire process, but they need feedback on how they are contributing.
Keys To Success In Stage Two – Frustration
Key – Leadership. This is where leadership in the organization must remain fully supportive and sustain effort and attention – people respond to what they believe is important to the Boss.
Key – Problem Solving Attitude and Behavior. As things go wrong – and some always do, even in the best planned situations, the insistence on a “How do we fix it” behavior, and the discouraging of a “Who do we blame” behavior is critical to maintaining or renewing positive energy.
Key– Know there will be a Stage Two, regardless how well planned Stage One may be, and be prepared to confront it and deal with it as soon as it becomes evident.
Key -Understand that the people in the project will know when it is in Stage Two, although they may not be able to identify it in those terms long before The Boss knows it. Keep communications “unfiltered” to allow “Early Warning” as soon as possible.
Keys To Success In Stage Three – Renewal
Key -A periodic reporting structure addressing the goals of the project creates structure for people to communicate not only accomplishments, but concerns and issues as well. As one top manager called them – the “Opportunities and Jeopardies” sessions.
Key– Openness and Trust – to the extent the organization feels it can communicate the truth as it knows it without fear of reprisal, the status of the project will be accurately given. Design into the project an “unfiltering” process that provides information access to the people doing the work. Don’t shoot messengers and don’t “layer“ feedback. Regularly scheduled status meetings with the project participants will help ensure timely feedback.
Key – Treat this as a problem solving stage, where review and amendment are a necessary part of maximizing the effectiveness of the change initiative. Treat this Stage as a normal part of the process, and not as an exception based on failure of planning or individual effort or competence.
Key – Communicate the expectancy and commitment that the project or initiative will succeed. Most failures occur within sight of the finish line. Now is the time to sustain effort
Keys To Success In Stage Four – Success
Key – Reward, reward, reward. People need to be recognized, and as the benefits start to flow to the organization, recognition, bonuses, time off, promotions, are all appropriate to both reward performance and to establish the climate for commitment on future changes.
Key– Create a systems approach to the project. Review the project to use knowledge gained on future project or projects.
Key – Keep everyone’s eye on the ball. Celebration is great, but not at the price of reduced effort while in sight of the finish line. Keep at it until it is done. This will require a different behavior set than the one that started the change – now is the time for the behaviors that “stick to it” to be recognized and rewarded.
Key – Goals. Keep them in front of everyone, and communicate their completion as they occur – use accomplishment for positive leverage in future changes.
Use the Keys to ensure the success of your change projects – and add to the Keys those steps that have worked in your organization to increase the competitive advantage for your organization
The Cox Consulting Group LLC. Ph: 602-795-4100; Fax: 602-795-4800; E Mail: CoxConsulting@msn.com
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