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SelectingthebesttheorytoImplementChange.pdf

Art & science | management theory

Correspondence

GmitchellO8@qub.ac.uk

Gary Mitchell is a doctoral student at the school of nursing and midwifery. Queen's University, Belfast

Date of submission October 22 2012

Date of acceptance February 4 2013

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Selecting the best theory to implement planned change Improving the workplace requires statf to be involved and innovations to be maintained. Gary Mitchell discusses the theories that can help achieve this

Abstract Planned change in nursing practice is necessary for

a wide range of reasons, but it can be challenging

to implement. Understanding and using a change

theory framework can help managers or other change

agents to increase the likelihood of success. This article

considers three change theories and discusses how one

in particular can be used in practice.

Keywords

Theory of change, implementing change,

organisational change

THERE ARE many ways of implementing change. However, planned change, which is a purposeful, calculated and collaborative effort to bring about improvements with the assistance of a change agent (Roussel 2006), is the most commonly adopted (Bennett 2003, Jooste 2004, Murphy 2006, Schifalacqua et al 2009a).

The Nursing and Midwifery Council (NMC) (2008) says nurses 'must deUver care based on the best available evidence or best practice', which suggests there is a continual need to update, or make changes to, practice. However, implementing change is more challenging than it is sometimes perceived. Szabla (2007), for example, estimates that two thirds of organisational change projects fail, while Burnes (2004a) suggests that the figure is even higher.

Various forces drive change in health care (Burritt 2005), including rising costs of treatments, workforce shortages, professional obligations, such as clinical governance and codes of conduct, advances in science, an ageing population, the potential to increase patient satisfaction, and promotion of patient and staff safety. These are invariably coupled

with restraining forces, such as poorly developed action plans, under-motivated staff. Ineffective communication and inappropriate leadership (Arkowitz 2002, O'Neal and Manley 2007). Price (2008) adds that nurses now feel 'bound by corporate policies' and that health care currently changes through 'revolution rather than evolution'.

Change is vital to progress, yet the nursing Uterature identifies numerous complexities associated with transforming plans into action, and attempts at change often fail because change agents take an unstructured approach to implementation (Wright 1998).

It is important, therefore, that managers, or change agents, identify an appropriate change theory or model to provide a framework for implementing, managing and evaluating change (Pearson ef al 2005).

Equally Important are the attributes of change agents who are, according to Marquis and Huston (2008), skOled in the theory and implementation of planned change and who are often nurse managers. This is discussed in more detail later in the article.

Change theories Many authors have attempted to address how and why changes occur, but the pioneer is, perhaps, Kurt Lewin. Lewin (1951) identified three stages through which change agents must proceed before change becomes part of a system (Figure 1): • Unfreezing (when change is needed). • Moving (when change is initiated). • Refreezing (when equilibrium is established). He also discussed how certain forces can affect change, which he called force-field analysis.

Lewin's work was expanded and modified by Rogers (2003), who described five phases of plarmed change: awareness, interest, evaluation, trial and

M April 2013 I Volume 20 | Number 1 NURSING MANAGEMENT

adoption. Another change theorist, Ronald Lippitt (lippitt et al (1958), identified seven phases.

Tomey (2009) suggests that Lippitt's seven phases and Rogers' five can be clustered within Lewin's three (Box 1). Box 1 also shows how change agents are motivated to change and affected members of staff are made aware of the need for change during Lewin's unfreezing stage. The problem is identified and, through collaboration, the best solution is selected.

Roussel (2006) suggests that unfreezing occurs when disequilibrium is introduced into the system, creating a need for change. This corresponds directly to phase 1 of Rogers' theory: awareness.

Lippitt's theory, meanwhile, uses simuar language to the nursing process (Tomey 2009) (Box 2), a model of nursing that has been used by nurses in the UK for a number of years. It is comprised of four elements (Pearson et al 2005) that are intrinsically linked: • Assessment The nurse makes a detailed

assessment of the patient that includes biographical details, relevant clinical history, social details and medical observations. This phase is normally considered to be the initial part of the nursing process, even though activities continue throughout a patient's period of care.

• Planning Following assessment, the nurse collaborates with the patient, relatives and multidiscipUnary team wherever possible to determine how to address the needs of the patient.

• Implementation This phase relates to the nurse carrying out and documenting the care previously agreed at the planning stage.

• Evaluation This occurs often points during the

parison of change theories

Lewin

Unfreezing

Rogers Lippitt

Examine

status quo

Increase (Jriving

forces for change

Take action

Make changes

Involve people

Make ^

changes permanent

Establish new way

of things

VReward desired outcomes

period of care. Evaluation is ongoing and links back to the assessment phase of the nursing process. This provides opportunity for regular assessment of patient needs, which can become more or less important during the care period.

Lippitt's assessment stage, or phase 1, incorporates Lewin's unfreezing stage and Rogers' awareness phase, but it also offers much more of a framework for change agents and includes assessment of motivation.

During Lewin's movement stage and Rogers' interest, evaluation and trial phases, change agents gather all available information and solve any problems, develop a detailed plan of change and test the innovation (Marquis and Huston 2008).

This corresponds with lippitt's phase 2 (Box 2), which includes, for example, selection of 'progressive change objectives', and is the stage at which deadlines and responsibilities are assigned to team members.

Lewin's refreezing stage corresponds with Rogers' adoption stage and Lippitt's implementation and

IjWJL Lippitt's theory compared with the nursing process ^ ^ "

Nursing process elements Lippitt's theory

Awareness Phase 1. Diagnose the problem

Phase 2. Assess motivation

and capacity for change

Phase 3. Assess change agent's

motivation and resources

Moving

Refreezing

Interest

Evaluation

Trial

Adoption

Phase 4. Select progressive

change objective

Phase 5. Choose appropriate

role of the change agent

Phase 6. Maintain change

Phase 7. Terminate the helping

relationship

(Adapted from Roussel 2006)

Assessment* Phase 1. Diagnose the problem

Phase 2. Assess motivation/capacity for change

Phase 3. Assess change agent's motivation

and resources

Planning! Phase 4. Select progressive change objective

Implementation^:

Evaluation^:

Phase 5. Choose appropriate role of the

change agent

Phase 6. Maintain change

Phase 7. Terminate the helping relationship

Key: 'Assessment = Lewin's unfreezing stage t Planning/implementation = Lewin's moving stage t Implementation/evaluation = Lewin's refreezing stage

(Lewin 1 9 5 1 , Lippitt ei a / 1 9 5 8 , Pearson ef a / 2 0 0 5 )

NURSING MANAGEMENT April 2013 i Volume 20

Art & science management theory

evaluation stages (Box 2, phases 6 and 7). At this point, the change has been successftüly integrated in the system and strategies are developed to prevent a return to previous practices. Lippitt's stage of 'maintaining the change' is crucial because successftü change can often regress to former, outdated practices (Carney 2000, Cork 2005).

Whüe the three change theories described above are simuar problem-solving approaches to implementing planned change, they are also subtly different. It is up to nurse managers to select the most appropriate model based on the specific circumstances of their work environment. It is also worth noting that, although these three theories are the most widely used, there are many others, including Reddin (1989), Havelock (1995) and Leavitt (Leavitt and Bahrami 1988).

Bumes (2004b) acknowledges the relevance of Lewin's work half a century on, but highlights that his three-tiered approach attracts major criticisms. It is argued, for example, that it is only suitable for small change projects, that it ignores organisational powers and poUtics, that it is top down and management driven, and that it assumes that orgarüsations operate in stable states.

Lippitt's work is more detailed. Whüe it requires a greater level of understanding of change theory, it is likely to be more useful to nurse meinagers because it incorporates a more detaued plan of how to generate change and it is tmderpinned by the four elements of the nursing process: assessment, planning.

^^Qplhar'acteristics of three leadership styles ^ |

Autocratic

Strong control

maintained over group.

Others motivated by

coercion.

Others are directed by

commands.

Communication flows

downward.

Decision mai<ing does

not involve others.

Emphasis on different

status ('you' and T).

Criticism is punitive.

Democratic

Less control maintained.

Economic and ego awards

are used fo motivate.

Others are directed through

guidance and suggestions.

Communication flows up

and down.

Decision making involves

others.

Emphasis is on 'we' rather

than 'you' and '1'.

Criticism is constructive.

Laissez-faire

Little or no control.

Motivated by support

when requested.

Provides little or no

direction.

Uses upward-downward

communication.

Disperses decision making

throughout the group.

Places emphasis on group.

Does not criticise.

(Adapted from Marquis and iHuston 2 0 0 8 )

implementation and evaluation (Pearson et al 2005). Throughout the remainder of the paper, Lippitt's theory is therefore used to demonstrate how managers can implement planned change.

Leadership styles Before embarking on change, managers may first consider their strengths and weaknesses in terms of their leadership skills, because these can greatly affect the outcome of a change project (Cutcliffe and Bassett 1997). As various authors point out, good leadership is not a prerequisite of management (Gerrish 2003, Outhwaite 2003, Salter et al 2009).

The literature suggests that leadership, effective communication and teamworking are among the most important elements for planned change (Hewison and Stanton 2003, Jooste 2004, Schifalacqua et al 2009a).

The role of leaders is multifaceted. Schifalacqua et al (2009a) state that an 'impassioned champion' is essential in au change models, because they provide inspiration, vision and support to everyone involved. Murphy (2006), meanwhüe, suggests that leaders shotüd be seen as team players with the same goals as the rest of their team, rather than as stereotypical organisational leaders.

Jooste (2004) sets out attributes of effective leadership:

Influence: leaders have an enormous role to play in influencing foüowers in the right direction, and shortcomings in leaders' characteristics can lead to problems among followers.

Í Clarity: are workers clear about their tasks? E Commitment: what do workers need from

their leaders? • Self-image: do foUowers know their own abuities,

what they can and cannot accomphsh? • Price: what is the price foüowers pay or the

rewards they receive for working weü. • Behaviour: does the leadership style promote

positive and effective behaviours among foüowers? There are various leadership styles, including autocratic, democratic and laissez-faire (Marqtiis emd Huston (2008) (Box 3), and whichever one is adopted WÜ1 affect the change in question.

Autocracy Autocratic leadership is regarded as predictable, with a high level of productivity, but often with low motivation, creativity and morale (Marquis and Huston 2008). However, it can be useftü in crisis situations and is frequently seen in large bureaucracies. Autocracy is applicable when change is demanded, for example through the use of a top- down approach, whue democratic leadership is more appropriate for groups working together and where autonomy is promoted (Rycroft-Malone et al 2002).

April 2013 I Volume 20 | Number 1 NURSING MANAGEMENT

Democracy Democratic leadership is useful when co-operation and co-ordination between groups are necessary, so it is therefore a more appropriate style for implementing change (Tomey 2009). However, Marquis and Huston (2008) wam that it is often less efficient than authoritative leadership.

Laissez-faire MectnwhQe, a laissez-faire leadership style can be non-directional and frustrating, and managers who adopt it tend to allow their subordinates to take control (Roussel 2006). It is not generally a useful style for planned changes, but it can work when team members are highly motivated and self-directed, and can lead to greater creativity, motivation and autonomy than autocratic or democratic leaderships (Benton 1999).

This style does, however, require multiple change agents and often there is much resistance from group members (Delmas and Toffel 2008), where democracy tends to lead to better results in plarmed chcinge (Richens 2004).

Having considered which change theory to adopt and what style of leadership best suits the project, managers or change agents can begin to work towards achieving change.

Using Lippitt's change theory Uppitt's theory, alongside a democratic style of leadership, is a popular and effective combination. Phase 1 (Boxes 2 and 3) is concerned with diagnosing the problem and is when a need for change has been noticed. Bermett (2003) reconamends undertaking a comprehensive literature review at this point, or delegating this task to someone with good criticcd appraisal skills, to assess all available data and to use the findings to bolster the change agent's position.

Phase 1 Project management begins at this stage because this provides the framework for implementing change (Schifalacqua et al 2009a). It involves developing a detailed plan or draft guideline of the proposed change, which should be given to everyone likely to be affected (Bennett 2003, Guy and Gibbons 2003). However, Roussel (2006) warns nurse managers not to overplan and to leave some room for people to exercise their initiative.

It is also important to have an agreed and appropriate timescale, which can prevent alienation and increase the likelihood of success (Carney 2000). Schifalacqua et al (2009a) warn not to underestimate the 'power of the grapevine', so effective communication should begin at phase 1 (Snow 2001) and is, in fact, integral to the entire change process (Tomey 2009).

Ejcample of a force-field analj

Positive factors/driving forces

Boost job satisfaction

Reduce workload in medium term

Increase patient autonomy

Negative factors/restraining forces

Additional time costs in normal consultations

Resistance from patients

Closer working with local pharmacists

IVIore appropriate workload

Opportunities for professional development

Trouble insisting on staff conforming

Time spent inducting new staff

Once driving and restraining forces have been identified, change agents can

determine their relative strengths and rank these by numbers or, as illustrated,

by the thickness of arrows.

(Chambers ef al 2006)

Phase 2 At this stage, motivation and capacity for change are assessed. It involves communicating With those who might be affected, responding to concerns cind, if required, justifying the change. Focus group interviews are one way to achieve this (Carney 2000).

This phase should also address resistance or, as Lewin (1951) puts it, the 'driving and restraining forces'. He suggests that both driving forces (facilitators) and restraining forces (barriers) operate during change, with driving forces advancing a system towards change, while restraining forces impede it (Marquis and Huston 2008).

Resistance to change is inevitable, and managers would be naive to think otherwise (Baulcomb 2003, Cork 2005, Price 2008). Meanwhile, Roussel (2006) suggests that change induces stress that in turn leads to resistance. However, using force-field analysis can counter this resistance.

Force-field analysis This is a framework for problem solving and plaimed change, developed by Lewin (1951). It illustrates that restraining forces cannot be removed and they can be countered only by increasing driving forces. One simple example can be used to illustrate this. A staff nurse does not believe that a new infusion pump is better than a previous model. The change agent cannot remove this restraining force but can bolster the driving

NURSING MANAGEMENT April 2013 I Volume 20 | Number 1

Art & science | management theory

force by explaining why the new pump is more effective and by organising training in how to use it. Figure 2 provides an example of a force-field analysis.

When the force-field analysis is completed, change agents must develop strategies to reduce the restraining forces, which include issues such as fear of losing job satisfaction, or fataüsm based on previous faüed change attempts (Tomey 2009). They must also strengthen the driving forces by, for example, increasing remuneration, promotional incentive, better recognition (Marquis and Huston 2008).

Phase 3 With the capacity for change addressed, Lippitt turns to phase 3: assessment of the change agent's motivation (Box 2). Change agents are not always managers (Murphy 2006), nor do they have to be part of the organisation where chcinge is being introduced. Fxternal change agents can be more objective than internal ones, but can be costly, take more time to assimüate duties and be seen as a threat by other team members (Roussel 2006, Marquis and Huston 2008, Tomey 2009).

Phase 4 This phase, the planning stage, is the point at which the chiinge process is defined and a final draft of the plan is developed, taking into account the force-field analysis, change agents' status, staff attributes and cost. A timetable is drawn up to ensure cost-effective implementation of the change (Benton 1999) and each team member is assigned a responsibüity. At this stage, change agents might consider some broad change strategies.

Change strategies Bermis et al (1985) describe three groups of change strategies that are appropriate for nurses wishing to implement change:

Figure 3 Î Herzberg two-factor motivation theory

Motivators

• Promotion opportunities.

• Opportunities for personal growth.

• Recognition.

• Responsibility.

• Achievement.

Hygiene factors

• Quality of supervision.

• Pay.

• Organisational policies.

• Physical working conditions.

• Relations with others.

• Job security.

Job context

Job satisfaction

Job context

Job dissatisfaction

(Adapted from Cubbon 2000, Cork 2005)

• Empirical-rational. • Power-coercive. •I Normative re-educative. One of these can be selected at phase 5 to help guide change (McPhail 1997).

The empirical-rational strategy assumes that people are rational and wül adopt change if it can be justified and is in their self-interest. Meanwhile, power-coercive strategy is top down and assumes that people obey instructions from higher authorities, although CutcUffe and Bassett (1997) note that these instructions are usually accompanied by some sense of threat, such as job loss. Finally, the normative re-educative strategy assumes that providing information and education will change people's usual behaviour patterns and help them develop new ones (Tomey 2009). Most successful change projects require a combination of these strategies (Strurüc 1995).

Phase 5 This phase focuses on choosing an appropriate role for the change agent. Cooke (1997, 1998) says that change agents are an active part of the change process, particularly in terms of managing staff and supporting change, and will aim to transform intentions into actual change efforts at this stage. It might be useful to undertake another force-field analysis now, as resistance can intensify at this point (McPhaü 1997, Benton 1999, Roussel 2006, Tomey 2009).

Phase six This phase corresponds to the implementation stage of the nursing process (Box 2) (Pearson et al 2005) and is concerned with maintaining the change so that it becomes a stable part of the system (Cooke 1998). During this phase the emphasis is on communication, feedback on progress, teamwork and motivation.

Change agents need to use their interpersonal sküls to inspire change, and having an understanding of motivation theory can support this. For example, the Herzberg (1959) two- factor motivation theory (Figure 3) proposes that individuals have intrinsic and extrinsic needs, described as satisfiers (motivators) or dissatisfiers (hygiene factors), which need to be fulfüled (Bennett 2003).

If change agents strive to meet staff's intrinsic motivational needs, this is likely to increase job satisfaction and improve co-operation and performance, and could be achieved through praise, continual feedback and effective communication (Cubbon 2000).

Ongoing training is important in this phase. Martin (2006) recommends training to support

April 2013 I Volume 20 | Number 1 NURSING MANAGEMENT

change because it allows the change to be embraced more effectively. Conversely, Cork (2005) suggests that training shows only how to behave in a certain system and not how to change it. However, Schifalacqua et al (2009b) found that staff education and training was a pivotal part of the change process. They claim that the relationship between training and stabilising change is not accidental.

Good communication is a prominent feature of every phase of the change process and almost all researchers cite it as fundamental to effective implementation (Robb 2004). Strong, open communication across teams strengthens the chance of firmly embedding change by supporting the development of therapeutic relationships and removing barriers (Murphy 2006).

Phase 7 The final phase, 'terminating the helping process', is evaluation and withdrawal of the change agent on an agreed date, although Roussel (2006)

recommends that change agents remain available for advice and reinforcement, since past behaviours can re-emerge and render even successful change useless.

Finally, any change must be evaluated to determine whether standards have improved. This can be done through clinical audit or patient satisfaction surveys.

Conclusion Attempts to implement plarmed change face numerous barriers, but using a framework, such as Lippitt's, proactively rather than retrospectively can help eliminate some of the potential problems, and address and act on others.

However, while this wül not guarantee success, since planned changes are vulnerable to failure at every stage m all change theories, careful consideration of change theory can simpUfy the process for change agents and help those affected by change to be more receptive to it.

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