Chin and benne strategies for change

Four Strategies for

Managing Change

Fred Nickols

FOUR STRATEGIES FOR MANAGING CHANGE

© Fred Nickols 2016 Page 1

O V E R V I E W This paper presents four basic strategies used to manage change in and to

organizations:

1. Empirical-Rational (E-R)

2. Normative-Reeducative (N-R)

3. Power-Coercive (P-C)

4. Environmental-Adaptive (E-A)

The first three are summarized versions of “classics” from the work of Ken-

neth Benne and Robert Chin1. The fourth is of the author’s own making.

Most successful change efforts will require some mix of the four strategies;

rarely will a single strategy suffice. The paper also provides some factors to

consider in selecting a strategy or formulating a mix of strategies.

T H E E M P I R I C A L - R A T I O N A L S T R A T E G Y U N D E R L Y I N G A S S U M P T I O N S . People are rational beings and will follow

their self-interest – once it is revealed to them. Successful change is based on

the communication of information and the proffering of incentives.

For the most part, people are reasonable and they can be reasoned with. In

short, they can be persuaded. Value judgments aside, they can also be

bought. This is the “carrot” side of carrot-and-stick management. But for

reason and incentives to work, there has to be very little in the way of a

downside to the change and/or the upside has to greatly outweigh it. If

there’s a big downside and it’s not offset by an upside that is big enough and

attractive enough to offset the downside and null out any risk involved, peo-

ple will indeed be rational; that is, they will oppose or resist the change –

overtly or covertly.

S E L E C T I O N F A C T O R S . Change strategy here centers on the balance of in-

centives and risk management.

The Empirical-Rational strategy is difficult to deploy when the incentives

available are modest. Why risk what we have for an uncertain future that

promises to be no more than modestly better than the present? This is es-

pecially true when people currently have it pretty good.

1 “General Strategies for Effecting Changes in Human Systems” (1969) by Robert

Chin and Kenneth D. Benne, Section 1.3 of Chapter 1 in The Planning of Change (2nd

Edition), Warren G. Bennis, Kenneth D. Benne and Robert Chin (Editors). Holt, Rine-

hart & Winston: New York, NY.

FOUR STRATEGIES FOR MANAGING CHANGE

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One stratagem of use here is to cast doubt on the viability of the present

state of affairs. You can attempt to convince people that they are on a burn-

ing platform (not a good choice if they really aren’t) or you can simply try to

persuade them that the current state of affairs has a short shelf life. In either

case, the story you tell has to convince them, not you.

A by-product of the Rational-Empirical strategy consists of converts, that is,

people who buy the story. Some will see the light and want to sign on.

These people can be very helpful. However, depending on their stature in

the organization, you might not want them.

Another stratagem here is to systematically target converts, that is, thought

leaders and influencers who, if they buy the story and buy into helping make

the change, will influence others.

T H E N O R M A T I V E - R E E D U C A T I V E S T R A T E G Y U N D E R L Y I N G A S S U M P T I O N S . People are social beings and will adhere to

cultural norms and values. Successful change is based on redefining and re-

interpreting existing norms and values, and developing commitments to

new ones.

For the most part, most people do want to “fit in” and “go along.” They will

“go with the flow.” The trick here is figuring out how to establish and define

the flow. Again, set aside value judgments and you will see such common-

place practices such as advertising, positioning, and so on. Central here also

is charismatic and dynamic leadership. It is also the case that the influence

of the informal organization is felt strongly here, especially in the form of

communities of practice.

S E L E C T I O N F A C T O R S . The Normative-Reeducative strategy focuses

squarely on culture – what people believe about their world, their work and

themselves and the ways in which people behave so as to be consistent with

these beliefs.

Ordinarily, culture doesn’t change quickly and certainly not overnight. This,

then, is not the strategy of choice in a turnaround situation on short dead-

lines.

Moreover, an organization’s culture is as much in the grip of the informal or-

ganization as it is the formal organization. For this reason, the Normative-

Reeducative strategy works best when relationships between the formal and

informal organizations are at least cordial and hopefully harmonious. If they

are at odds with one another, this change strategy is denied to management.

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Still, there is an avenue or two open here. Almost all change efforts have

long-term as well as short-term goals. To some extent, any long-term

change strategy has to incorporate some aspects of the Normative-

Reeducative strategy. Enlisting and involving the informal leaders of the or-

ganization and keeping them involved is one such avenue. (It should be kept

in mind that the formal and informal organizations often overlap in the form

of people who lead or influence large or important constituencies and who

also hold powerful positions.)

T H E P O W E R - C O E R C I V E S T R A T E G Y U N D E R L Y I N G A S S U M P T I O N S . People are basically compliant and will gen-

erally do what they are told or can be made to do. Successful change is based

on the exercise of authority and the imposition of sanctions.

This can range from the iron hand in the velvet glove to downright brutality

– “My way or the highway.” The basic aim here is to decrease people’s op-

tions, not increase them. Surprisingly, in many situations, people actually

want and will readily accept a Power-Coercive strategy, particularly when all

feel threatened and few know what to do. This strategy is the “stick” side of

carrot-and-stick management.

S E L E C T I O N F A C T O R S . Two major factors influencing the choice of the

Power-Coercive strategy are time and the seriousness of the threat faced.

If the organization sits astride the fabled “burning platform,” the threat is

grave and the time for action is limited. The metaphor of a burning platform

is useful but only if all concerned can in fact see that the platform is on fire.

This is rarely the case in an organization. Few companies are filled with

people who understand the way the business works and fewer people still

appreciate the threats it faces or the opportunities it encounters.

It has been argued that change-minded leaders should create a burning plat-

form. That idea might have merit in extreme situations but it also entails

considerable risk – to the organization, to its people, and to the leader who

attempts it.

A mitigating factor here is the culture. If the culture is basically one of a be-

nign bureaucracy that is clearly threatened, its members are likely to go

along with a sensible program, no matter how high-handed. Conversely, if

the culture is laced with autonomy and entrepreneurship but has grown fat,

dumb and happy, people will resent and perhaps oppose or resist authori-

tarian moves. In this case, key positions might have to be filled with new

people.

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T H E E N V I R O N M E N T A L - A D A P T I V E S T R A T E G Y U N D E R L Y I N G A S S U M P T I O N S . People oppose loss and disruption but they

adapt readily to new circumstances. Change is based on building a new or-

ganization and gradually transferring people from the old one to the new

one.

This strategy shifts the burden of change from management and the organi-

zation to the people. It exploits their natural adaptive nature and avoids the

many complications associated with trying to change people or their culture.

Essentially, this is a strategy of self-cannibalization, that is, you set out to eat

your own lunch – before someone else does.

Also known as “the die-on-the-vine” strategy, the Environmental-Adaptive

strategy hinges on the commonplace observation that, although people are

often quick to oppose change they view as undesirable, they are even quick-

er to adapt to new environments. Consequently, instead of trying to trans-

form existing organizations, it is often quicker and easier to create a new one

and gradually move people from the old one to the new one. Once there, in-

stead of being able to oppose change, they are faced with the prospect of

adapting to new circumstances, a feat they manage with great facility. The

old organization, then, is left to die on the vine.

S E L E C T I O N F A C T O R S . The major consideration here is the extent of the

change. The Environmental-Adaptive strategy is best suited for situations

where radical, transformative change is called for. For gradual or incremen-

tal change, this is not the strategy of choice.

Time frames are not a factor. This strategy can work under short time

frames or longer ones. However, under short time frames, a key issue will

be that of managing what could be explosive growth in the new organization

and, if it is not adequately seeded with new folks, the rapid influx of people

from the old culture can infuse the new organization with the old culture.

Another factor to consider is the availability of suitable people to “seed” the

new organization and jump-start its culture. Some can come from other or-

ganizations but some can come from the old organization, too. In the old

culture can be found rebels, misfits and other non-conformists who are pre-

cisely what is needed in the new culture. They must be chosen with care,

however, because of the politics and the possibility that some will bear

grudges against some members of the old culture.

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Another consideration here is perhaps best termed as “bad apples” (i.e.,

people from the old organization who simply cannot be allowed into the new

one).

C O N S I D E R A T I O N S I N F O R M U L A T I N G A S T R A T E G Y M I X Generally speaking, there is no single change management strategy. You

can adopt a general or grand strategy (say, a Power-Coercive one) but, for

any given initiative (and there will always be multiple initiatives), you are

best served by some mix of strategies and tactics. A useful exercise is to

queue up the change initiatives and examine each of them in relation to the

various strategies and selection considerations listed below. Your mix of

strategies will emerge from this examination.

1. D E G R E E O F C H A N G E . Radical change or transformation argues for

an Environmental-Adaptive strategy (i.e., “wall off” the existing or-

ganization and build a new one instead of trying to transform the old

one). Less radical changes argue against this strategy.

2. D E G R E E O F R E S I S T A N C E . Strong resistance argues for a coupling of

Power-Coercive and Environmental-Adaptive strategies. Weak re-

sistance or concurrence argues for a combination of Rational-

Empirical and Normative-Reeducative strategies.

3. P O P U L A T I O N . Large populations argue for a mix of all four strate-

gies, something for everyone so to speak. Diverse populations also

call for a mix of strategies. This implies careful segmentation.

4. S T A K E S . High stakes argue for a mix of all four strategies. When the

stakes are high, nothing can be left to chance. Moderate stakes argue

against a Power-Coercive strategy because there is no grand payoff

that will offset the high costs of using the Power-Coercive strategy.

There are no low-stakes change problems. If the stakes are low, no

one cares, and resistance levels will be low. Avoid Power-Coercive

strategies in low stakes situations.

5. T I M E F R A M E . Short time frames argue for a Power-Coercive strate-

gy. Longer time frames argue for a mix of Rational-Empirical, Norma-

tive-Reeducative, and Environmental-Adaptive strategies.

6. E X P E R T I S E . Having available adequate expertise at making change

argues for some mix of the strategies outlined above. Not having it

available argues for reliance on the Power-Coercive strategy.

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7. D E P E N D E N C Y . This is a classic double-edged sword. If the organi-

zation is dependent on its people, its ability to command and de-

mand is limited. On the other hand, if the people are dependent on

the organization, their ability to oppose is limited. (Mutual depend-

ency almost always signals a requirement to negotiate.)

S U M M A R Y The preceding discussion of strategies for managing change is summarized

in Figure 1 below.

Figure 1 – Four Strategies Summarized

A key point to be made here is that people are all those things indicated

above; they are logical, they are social, they are compliant and they adapt to

new and changing circumstances. Again, this means using a mix of strategies

instead of relying on just one.

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R E L A T E D R E A D I N G S This paper draws on a section of “Change Management 101: A Primer” (see

the link below). There are additional articles related to change management

on my web site. Links are provided below.

 Change Management: A Selected Bibliography

 Change Management 101: A Primer

 Change Management in Hard Times

 Embracing Resistance to Change

C O N T A C T T H E A U T H O R Fred Nickols can be contacted by e-mail. Other articles of his can be found

on his web site.

http://www.nickols.us/change_biblio.pdf
http://www.nickols.us/change.pdf
http://www.nickols.us/cminhardtimes.pdf
http://www.nickols.us/embracingresistance.htm
mailto:fred@nickols.us
http://www.nickols.us/articles.html