Unfreezing Human Habits for Lasting Transformation
Understanding Lewin’s 3 Stages and Forces for change and their impact on successful transformations
We’ve talked about the 8 Steps for Transformations that stick with Kotter but that doesn’t address the reason why change is hard. Organisational change, product change, digital transformation or any change. Even James Clear talks about change by focussing on our human habits in Atomic Habits. Before Clear, Kotter, BJ Fogg and others, there was Kurt Lewin.
Kurt Lewin was a pioneering psychologist and social scientist who made significant contributions to the field of organisational change management. His famous three-stage model, known as "Unfreeze, Change, Refreeze," provides a comprehensive framework for understanding and navigating the complexities of organisational change from a human perspective.
Seventy years later, Lewin’s thinking about how change is adopted and made the new normal is still very relevant.
Who Was Kurt Lewin?
Kurt Lewin, born in 1890 in Prussia (now Poland), was a renowned psychologist and one of the founding figures of modern social psychology. His work was instrumental in bridging the gap between psychology and organisational studies. Lewin is best known for his groundbreaking research on group dynamics, leadership, and change management. He developed theories and models that continue to shape our understanding of human behaviour within organisations.
The Genesis of the Three-Stage Model
Kurt Lewin's three-stage model emerged from his extensive research on group behaviour and change dynamics. He recognized that change in organisations is often met with resistance due to entrenched habits and mindsets. To address this challenge, in 1951 he devised a structured approach to guide organisations through the change process.
While we live in a world far different from Lewin, with digital conveniences, technology and AI, our human response to change has not changed. Digital transformations need an understanding of human behaviour, mindset and habits to support change.
The Three-Stage Model
Kurt Lewin’s three stage model of change starts with Unfreeze
1. Unfreeze
Kurt Lewin’s three stage model of change starts with “Unfreeze”. This stage represents the first critical step in managing organisational change as existing habits and mindsets must be unfrozen to create a receptive environment for change. People need to feel that the current status quo is unsustainable and cannot continue. An Example of this today is thinking about climate change and our behaviours contributing to the problem. Or moving our customer’s behaviour from calling us for support to using self service tools to diagnose and resolve their problems. Or even moving our legal firm from reliance on printing and paper to storing information digitally.
(a) Define the Current Situation
In the “Unfreeze” Stage Lewin encourages us to first Define the Current Situation:
Begin by understanding the current state of the organisation and assessing existing practices, identifying problem areas, and acknowledging the need for change.
A tech organisation with declining profits and downward pressure on their revenue in a mature market, may need to consider developing new markets, new products or focusing on new target customers for survival. The risk or continuing as they have always done could mean redundancies and extinction for the organisation. Looking at their current processes, products, market conditions, and the reasons behind their declining performance is a must at this point.
(b) Create a Vision of the Desired End State
Lewin urges us to develop a clear and compelling Vision of what the organisation should look like after the change has happened. This Vision is the North Star of what awaits after the transformation is complete. How the organisation is able to survive, retain and increase jobs, how the change improves the way things are done in the organisation.
In our above example, the organisation may see the efficiencies of digital transformation, moving to AI and providing a seamless user-centric experience, to allow them to profitably grow and become more competitive.
(c) Identify Forces that Drive and Resist Change
In every change activity, Lewin tells us there are factors that support and resist the change. Driving forces propel the organisation towards the desired change, while resisting forces act as barriers. Once you identify these forces and understand how they work, you can look for ways to support the driving forces and ways to hinder the resisting forces. Working with change agents throughout the organisation will help spread the positive change, show proof of the change working and getting closer to the Vision as well as identify behaviour and instances where the change hasn’t gone as planned. They can work with the teams within the organisation to identify the root cause of the change not working and workshop improvements.
The driving forces in our scenario include the need to stay competitive, while resisting forces may involve employees who are comfortable with the old product development processes.
2. Change
The "Change" stage is where the actual transformation occurs. It is a period of experimentation, confusion, and clarification as the organisation moves from the old ways to the new. People within the organisation are free to experiment with the new platform, try new things, discard what doesn’t work and
A manufacturing company that begins implementing automation technologies or uses AI to identify and proactively minimise loss on the line, will need to retrain employees to adapt to the changes. This period may involve setbacks, training programs, and continuous adjustments to processes. This period involves continual experimentation to get it right.
3. Refreeze
In the "Refreeze" stage, new habits and mindsets are formed, and the changes become the new norm within the organisation. Stability is regained, and the organisation settles into its new state.
After successfully implementing automation and lean practices, the manufacturing company's employees become proficient in their new roles. The company experiences improved productivity, reduced costs, and increased market share, and these changes become embedded in the organisational culture.
Forces for Change
Lewin takes his 3 stage model further with Force Field Analysis helping us understand and manage the forces that drive change, those that resist change and how to assess any transformation activity.
Force Field Analysis is a powerful tool for understanding and managing organisational change. It helps identify the driving forces (those pushing for change) and the restraining forces (those resisting change) within an organisation. The goal is to increase the driving forces while reducing or mitigating the restraining forces to facilitate successful change. Here's an explanation of the concept and strategies to reduce resistance and increase support:
Force Field Analysis Basics
Driving Forces: These are the factors or individuals that support and advocate for change within the organisation. They are typically motivated by the benefits and advantages that the change will bring.
Restraining Forces: These are the factors or individuals that oppose change. They are often motivated by concerns, fears, or perceived disadvantages associated with the proposed changes.
Equilibrium: In a force field analysis, the equilibrium represents the current state of affairs where the driving forces are balanced against the restraining forces. Change occurs when the equilibrium is shifted by strengthening the driving forces or weakening the restraining forces
Reducing Resistance and Increasing Support
(a) Identify and Communicate Benefits
Clearly articulate the benefits of the proposed change. Use data and evidence to support your case. When people understand how the change will improve their work, they are more likely to support it.
Example: A company is implementing a new project management software. They communicate that the software will streamline project tracking, reduce errors, and improve team collaboration, leading to shorter project timelines and increased client satisfaction. Personally the team currently overworked, will have more time back to spend on new initiatives.
(b) Engage Key Stakeholders
Involve key stakeholders early in the change process. This includes employees, managers, and any other groups affected by the change. Seek their input, address their concerns, and involve them in decision-making.
Example: Before launching a new employee performance appraisal system, HR involves managers and employees in the design process to gather feedback and address concerns about fairness and transparency. Through co-designing the new system with the end users, adoption is more likely.
(c) Provide Training and Resources
Resistance often stems from a lack of knowledge or confidence in the new processes or technologies. Offer training and resources to help employees acquire the necessary skills and feel more comfortable with the changes.
Example: A hospital is transitioning to a new electronic health records system. They offer comprehensive training sessions for all staff and provide on-site support during the initial rollout to ensure everyone is comfortable with the new technology.
(d) Leadership Support
Ensure that top leadership is fully committed to the change. Leaders should actively support and champion the change effort. Their commitment can inspire confidence and buy-in from others.
Example: The CEO publicly endorses a company-wide sustainability initiative and allocates resources to support it. This sends a clear signal that sustainability is a top priority for the organisation.
(e) Incentives and Recognition
Consider offering incentives or recognition to those who embrace the change and contribute positively to its implementation. This can motivate individuals and teams to support the change.
Example: A retail company rewards employees who consistently meet sales targets after the implementation of a new sales strategy with bonuses and recognition in team meetings. These incentives support the forces driving the behaviour needed for successful change.
(f) Communication
Maintain transparent and consistent communication throughout the change process. Address concerns, provide updates, and encourage feedback. Effective communication helps people feel informed and involved.
Example: During a merger, the leadership team holds regular town hall meetings, publishes newsletters, and maintains an open-door policy to address employee questions and concerns promptly.
(g) Pilot Programs
Implement pilot programs or small-scale trials of the proposed changes before full-scale implementation. This allows for adjustments based on real-world feedback and demonstrates the benefits more concretely.
Example: An IT department introduces a new project management methodology in a pilot project. They gather feedback from the project team to fine-tune the approach before rolling it out to the entire department. Alternatively, a new product is pre launched to internal staff to gather feedback and optimise the experience before launching with customers.
(h) Change Agents
Identify change champions or change agents within the organisation. These are individuals who are enthusiastic about the change and can influence their peers positively.
Example: In a manufacturing plant, a group of experienced employees known as "lean champions" actively promotes and guides the adoption of lean manufacturing principles among their colleagues. They’re the early adopters who show how the change is positively impacting their work.
(i) Negotiation and Compromise
Sometimes, resistance can be reduced through negotiation and compromise. Engage with resistors to find common ground and make adjustments to the change plan when necessary.
Example: In a marketing department, some team members are resistant to a shift in branding strategy. The team leader engages in discussions with the resistors to find a compromise that preserves some elements of the old branding while incorporating new elements.
(j) Continuous Evaluation
Continuously monitor the progress of the change initiative and gather feedback. Make adjustments as needed to address emerging issues and maintain momentum.
Example: A tech startup implementing agile development processes regularly conducts retrospectives after each sprint to gather feedback from the development team. They use this feedback to make ongoing improvements to their processes.
By applying these strategies, organisations can effectively reduce resistance and increase support for change, ultimately leading to successful implementation and the realisation of desired outcomes.
Kurt Lewin's three-stage model (Unfreezer, Change and Refreeze) and Force Field Analysis provides a valuable human framework for managing organisational change, increasing support for change and identifying reasons for resistance. An early observer of behavioural psychology, Lewin allows us to understand the human side to transformation, what it takes to break old habits, change mindsets and adopt new ways of working. Understanding the importance of each stage can empower leaders and change agents to effectively guide their organisations through transformative periods, fostering growth, adaptability, and resilience.
Product leaders can use this same framework when thinking about what their customers will need to do to change their own habits and adopt new tech products or services. Change without understanding why it’s better or how it improves your life (as a customer or employee) is naturally met with resistance. Taking Lewin (and Kotter’s) approach can improve the success of any change.
Want your product and change transformations to stick? Let’s focus on the habits we need to change. I can help. Send me an email at irene@phronesisadvisory.com