UNIT II

MODELS AND THEORIES OF

 PLANNED CHANGE
The Father of OD’s change model
???????????????????

LEWIN’S CHANGE MODEL

Kurt Lewin introduced two ideas about change.
• The first idea stated that what is occurring at any
point in time is a resultant in a field of opposing
forces that is status quo—Its because of two
forces in opposite directions resulting in
equilibrium point.
• Lewin’s second idea was a model of change itself,
He suggested that change is a three stage process,

Unfreezing-Changing-Refreezing
Model
(Kurt Lewin)

 Unfreezing
• Reducing or eliminating resistance
to change by resolving fear and
feelings about letting go of the
“old.”
 Changing (or moving on to a new
level)
 •Moving on to other things through
active participation in the change
process.
 Refreezing
• Encouraging recognition of
successful change and rewarding
people for implementing the
change.
EDGAR SCHEIN took this excellent idea and
improved it by specifying the psychological
mechanism involved in each stage:
STAGE I: Unfreezing: Creating motivation and
readiness to change through

• Disconfirmation or lack of confirmation.

• Creation of guilt or anxiety.
• Provision of psychological safety.

STAGE II CHANGING: Help the client to see

things, judge things, feel things and react to things
differently based on a new point of view obtained
through
• Identifying with a new role model, mentor, etc.
• Scanning the environment for new relevant
information.
STAGE III REFREEZING : Helping the client to
integrate the new point of view into:
• The total personality and self concept.
• Significant relationships.

1. In stage one, unfreezing, disconfirmation

creates pain and discomfort, which
causes guilt and anxiety, which
motivates the person to change. But
unless the person feels comfortable with
dropping the old behaviors and taking
the new one, change wont occur.

2. In stage 2 Moving, the person undergoes

cognitive restructuring. The person
acquires information and evidence
showing that the change is desirable and
possible.

3. The primary task in stage 3, refreezing is

to integrate the new behaviors into the
person’s personality and attitudes. Ie
stabilizing the required change.
The Change Process

The Change Process for,

Organizations, and
Individuals
 Factors Affecting the Change
Process
Capacity for change

Forces that positively influence change

Forces that negatively influence change

Theories that inform change

First-order or Continuous Change

Change occurs without a disruption to the

system. The system remains stable, and the
equilibrium is maintained.
Second-order or Discontinuous
Change

The equilibrium of the system is disrupted as the

fundamental properties of the system are
changed.

Change Theories and

Strategies

Change Agentry

Participatory Change

Data-Driven Change
 Force Field Analysis

The environment in which change occurs

contains a force field.
 Force Field Analysis

Driving Forces

Restraining Forces

Driving Forces

Driving forces move one toward the desired

change.
Restraining Forces

Restraining Forces
Burke-Litwin
Change Model
• Developed by Warner Burke and George
Litwin, shows how to create First order and
Second order change

• FOC = transactional, evolutionary,

adaptative change.

• SOC= Transformational, revolutionary,

radical, discontinuous etc.

ORGANIZATIONAL CLIMATE: is
People’s perceptions and attitudes about
the Oz. Whether it is good, bad place to
work, friendly or unfriendly etc, These are
easy to change because they are built on
employees’ reactions to current managerial
and Oz practices.
ORGANIZATIONAL CULTURE: is
defined as deep seated assumptions, values
and beliefs that are enduring, often
unconscious, and difficult to change.
(Changing culture is very very difficult
(not impossible) ).

TRANSACTIONAL LEADER: are leaders

who guide or motivate their followers in the
directions of established goals bny
clarifying role and task requirement, a fair
exchage between leader and follower that
lead to “NORMAL PERFORMANCE”
 TRANSFORATIONAL LEADERS: are
leaders who inspire followers to transcend
their own self interest for the good of the
Oz and who are capable of having a
profound and extraordinary effect on their
followers, embody inspiration which lead
to new heights of performance.

TRANSACTIONAL FACTORS INVOLVED IN

FIRST ORDER CHANGE
 MANAGEMENT
PRACTICES

SYSTEMS,
POLICIES AND
STRUCTURE PROCEDURES

WORK UNIT
CLIMATE

MOTIVATION
INDIVIDUAL
TASK NEEDS AND
REQUIREMENTS VALUES
AND
INDIVIDUAL
SKILLS INDIVIDUAL
AND OZ
PERFORMANCE

Changing structure, management practices, and

systems causes changes in work unit climate. Which
changes motivation and in turn individual and Oz
performance, Transactional leadership is required to
make this change in Oz climate.
TRANSFORMATIONAL FACTORS
INVOLVED IN SECOND ORDER CHANGE

EXTERNAL
ENVIRONMENT

MISSION AND
STRATEGY ORGAZINATION
AL CULTURE
LEADERSHIP

INDIVIDUAL
AND OZ
PERFORMANCE

For second order change, we must change mission

and strategy, leadership styles, and Oz culture,
Interventions directed toward theres factors
transforms the Oz and cause permanent chaining in
Oz culture.

Bruke himself said “THERE ARE 2 DIFFERENT

SET OF OZ DYNAMICS, ONE SET AT
TRANSACTIONAL LEVEL OF HUMAN
BEHAVIOUR TO CHANGE CLIMATE AND
THE SECOND DYNAMIC RELATES TO
SUDDEN HUMAN TRANSFORMATION
“SUDDEN”.
CONCLUSION
We consider the BL model to be more advanced in
thinking and planning change. OD practitioners size
up the change situations, determine the change
required T or T and then target interventions.
First-

 Chan
Seco
Chan

 The e
SYSTEMS
THEORY
SYSTEM ????
A SET OF CONNECTED
ITEMS WHICH WORK
TOGETHER

THEORY ????
A FORMAL STATEMENT
OF RULES ON WHICH A
STUDY IS BASED!!!
1. A second foundation of OD is the ST which
views the Oz as open system(Catch me if u can)

2. Open system is one that receives input from the

environment and releases output to the
environment. Its dynamic, interactive with
feedback style, whereas a Closed system is one
where interactions occur only among the system
components and not with environment.

3. Ludwign Von Bertalanffy first articulated the

principles of general systems theory in 1950 and
Katz and kahn were the first to apply open
system theory to Oz in 1966.

Nature of
Systems
• Oz are open systems, thus studying open system
leads to a good understanding of Oz.

1. CHARACTERSTICS :All Oz are Input

throughput-output mechanism, take energy, info ,
money, people , raw material and so on, do
something and transfer\export back to the
environment in the form of outputs..
2. F

SOURCE OF
ENERGY
USE
MATERIAL
INFO, RS
MONEY,
HR

TRANSFORMING OUTPUT
INPUT MECHANISM

INTERNAL INTERFACE
FEEDBACK MECHANISM
Every system has a boundary, What is inside the
boundary is the system and outside is the
environment, Boundaries of open systems are
permeable ie allow change of info resources and
energy between the system and environment.

3. Open system has a purpose and goal, the

reason for existence.

4. The law of entropy states that all systems

“run down” and disintegrate unless they reverse the
entropic process by importing more energy than
they use.

5. Info is very imp for the System, Negative

feedback or deviation correction feedback
measures whether the output is on course with the
purpose, Positive feedback or deviation amplifying
feedback measures whether or not the purpose and
goals are aligned with the environments need.Info
must be filtered, Ex a Fast food company is
interested in nutrition, eating fads, competitiors etc
and not aerospace mining, crude oil etc.

6. An open system is steady state or dynamic

homeostasis ie they achieve a state of equilibrium
point and seek to maintain this. “Kahn states, “The
basic principal is the preservation of the system”.

7. Equifinality, the principle that thaere are

multiple ways to arrive at a particular goal,
subsystems exists within larger systems.

HOW SYSTEMS THEORY

USED BY OD
PRACTIONERS
• David Nadler and team at Delta Consulting
Group developed the congruence model for
understanding Oz dynamics.

INPUT INFOR OUTPUT

MAL
ENVIRONM OZ
ENT SYSTEM

RESOURCE FORMA UNIT

STRAT L OZ
S WORK
EGY

INDIVIDU
HISTORY AL
PEOPL
E

•
are
Two major variations of Open Systems theory
1. Sociotechnical System theory: Every Oz
consists of 2 systems, social system and technical
system and change in one effects the
other.Successful implementation include
autonomous work groups, multiskilled teams,
controlling variance at source etc,

2. Open system planning: Scanning the

environment to know the expectations, developing
futurestic strategies, and developing action plan.

TOGETHER
EVERYONE
ACHIEVES
MORE

What is a team???

A team comprises a group of people or animals

linked in a common purpose. Teams are especially
appropriate for conducting tasks that are high in
complexity and have many interdependent subtasks.

A group in itself does not necessarily constitute a

team. Teams normally have members with
complementary skills and generate synergy through a
coordinated effort which allows each member to
maximize his or her strengths and minimize his or her
weaknesses. Team members need to learn how to
help one another, help other team members realize
their true potential, and create an environment that
allows everyone to go beyond their limitations.
[1]
Team size, composition, and formation
Team size and composition affect the team processes
and outcomes. The optimal size (and composition) of
teams is debated and will vary depending on the task
at hand. At least one study of problem-solving in
groups showed an optimal size of groups at four
members. Other works estimate the optimal size
between 5-12 members.[citation needed] Fewer than 5
members results in decreased perspectives and
diminished creativity. Membership in excess of 12
results in increased conflict and greater potential of
sub-groups forming.
Many teams go through a life-cycle of stages,
identified by Bruce Tuckman as: forming, storming,
norming, performing and adjourning.

TYPES
1. interdependent team
independent team:
2.

Self-managed teams
3.

Project teams
4.
5. Sports teams
6. Virtual teams

• Teams and teamwork are among the hottest

things happening in Oz today gurus extol the
virtues of teams, , teaming and team related
acronyms abound SDT Self Directed Teams, QC
Quality Circles, HPO High Performance Teams,
HPWSs High Performance Work Systems., STS
Sociotechnical Systems, to name just a few.

• Who fights victorious wars??? INDIVIDUALS

OR TEAMS
• Why the US, NATO, multinational forces not
able to defeat the Taliban in Afghanistan in spite of
the best of military hardware??

• Does just a single bee sting kill a man???

• What about the most successful person whom u

know???
Teams are important for a number of reasons
First__ Most of Id ( INDIVIDUALS) behaviour is
rooted in the sociocultural norms and values of the
work team.
Second__ Many tasks are so complex they cannot be
performed by Id.
Third__Teams create synergy 1=1 = 11
 WE ALL REMEMBER THE
STORY OF THE OLD
FARMER AND SEVEN SONS
WHOME HE GIVES ONE
STICK EACH TO
BREAK……………..

CONCLUSION: Teams have always been an

important foundation of OD, now there is a growing
awareness of the teams unique ability to create
synergy, respond quickly and flexible to problems,
find new ways to get the job done, and satisfy social
needs in the workplace.
PARALLEL
LEARNING
STRUCTURES

WHAT IS PARALLEL LEARNING

STRUCTURE???
Parallel learning structures are specially created
orgizational structures for planning, guiding change
programs, constitutes another important foundation
of OD.
WHO USED THE TERM FIRST???
Dale Zand introduced this concept in 1974 under the
label collateral Organization. And defined it as “ A
supplemental Oz co existing with the usual, for ill-
structured” problems the formal Oz is unable to
resolve.
Gervase Bushe and Abraham used the term Parallel
learning structures to refer to this structural
interventation. PLS are a mechanism to facilitate
innovation in large bureaucratic Oz where the forces
of inertia, hierarchical, communication patters and
standard ways of addressing problems inhibit
learning, innovation and change”

IN SHORT, “PLS ARE A VEHICLE

FOR LEARNING HOW TO CHANGE
THE SYSTEM, AND THEN LEADING
THE CHANGE PROCESS.”

WHAT IS THERE IN A PLS????

, and monitor the change efforts,

Additional refinements include having a steering
committee plus idea groups, action groups, work
groups, or implementation groups, with the group
serving specific functions designed by the steering
committee.
One or more top executive should be member of the
steering committee to give the PLS authority,
legitimacy, and clout.
According to Bushe and Shani, “The key thing about
PLS is that they create a bounded space and time for
thinking, talking, deciding, and acting differently
than normally takes place at work. If you don’t
implement different norms and procedures, you don’t
have PLS.

WHAT DO PLS DO????

PLS help people break free of the normal constraints

imposed by the Oz, engage in genuine inquiry and
experimentation, and initiate needed changes.
High performances Oz often use PLS to coordinate
self directed teams. At Ford Motor Company, a
steering committee and working groups were use to
coordinate the employee involvement teams.
 Learning
is a life
long
process

SO DOES OD BELIEVES
AND USES THIS
PRINCIPLE?????

ANSWER: YES!!!!
HOW????
THROUGH,
NORMATIVE-
REEDUCATIVE
STRATEGY OF
CHANGING
• OD involves change. And the CA (Change
Agent) uses a particular strategy for change.

• Chin and Benne describe three types of

strategies for Changing.

•
CHANGING
STRATEGIES BY
CA

EMPIRICAL NORMATIVE POWER

RATIONAL REEDUCATIVE COERCIVE
STRAGEY STRATEGY STRATEGY
• Empirical rational strategy is based on the
assumption that people are rational, will
follow their rational self-interest. And will
change if and when they come to realize
change is advantageous to them.

• Normative Reeducative Strategy is based on

the assumption that norms form the basis for
behavior, and change comes through
reeducation in which old norms are discarded
and supplanted by new ones.

• Power-coercive strategy is based on the

assumption that change is compliance of those
who have less power with the desires of those
who have more power.
 • Evaluated against these 3 change strategies,
OD clearly falls within the normative-
reeducative category, although often OD
represents a combination of the NR and ER
strategies.

EXAMPLE:
Suppose the Salk Polio vaccine has just been
invented , tested and cleared for public use and that
you are in charge of disseminating it to the public,

1. Acc to Empirical Rational way, you would

assume that rational people would use the
vaccine if only they had info about it available
and its efficacy, your plan therefore would be to
disseminate the info and everyone would use it.

2. Acc to normative reeducative way, you would

do additional things While u don’t disregard
peoples intelligence, cultural norms, vales , and
beliefs that must be changed like, All new drugs
are dangerous until they have been in market
for ten years, My neighbor Mr. Khan isn’t
 going to use it, Well no one in my family till
now has ever had polio so im not afraid of
getting it and don’t need to be educated. You
would mount both an education campaign about
te new drug and a reeducation campaign to
change people’s norms and values.

3. According to Power coercive way, you would

be straightforward: You would pass a law
stating that all persons must get vaccinated and
you would enforce the law, people would take
the vaccine.

According to Chin and Benne, a normative

reeducation strategy has the following implications
for the CA ( Change Agent)

1. OD is based primarily on normative reeducation

strategy and secondarily on the rational
empirical strategy.
2. The client system member defines what
changes and improvements they want to make,
rather than the OD practitioner.
3. The CA intervenes in a collaborative way with
the clients and together they define problems
and seek solutions. Anything hindering
effective problem solving is bought to light and
examined, doubts anxieties and negative
feelings are surfaced for working through.
4. Solutions to problems are not a poorly assigned
to greater technical info but may resied in
values, attitudes, relationships and customary
ways of doing things.
5. Because norms, values and beliefs can best be
changed by focusing on the group not on
individuals, Burke writes: If one attempts to
change an attitude or the behavior of an
individual without attempting to change the
same attitude in the group to which the Id
belongs, then the Id will be a deviate and either
will come under pressure form the group to get
back into line or will be rejected entirely.
 APPLIED
BEHAVIOURAL
SCIENCE
The foundation of OD relates to the primary
knowledge base of the field, behavioral science
knowledge. OD is the application of behavioral
science knowledge, practices, and skills in ongoing
systems in collaboration with system members.

WHY STUDY APPLIED

BEHAVIOURAL
SCIENCE?????????
The aim is to look briefly at how behavioral science
knowledge becomes applied behavioral science
knowledge and used by the CA!!!

PURE SCIENCE: or basic

science, the object of this is
knowledge for its own sake, just
to know more!!!
 Technology, applied science or
practice, the object of which is
knowledge to solve practical,
pressing problems

And OD emphasizes the latter!!! The problem that

confronts a practitioner is customarily a state of
disequilibrium that requires rectification. The
practitioner examines the problem situation on the
basis of which he or she prescribes a solution that
hopefully reestablishes the equilibrium, thereby
solving the problem.

• OD is both a result of applied behavioral

science and a form of applied behavioral
science.
CONTRIBUTION FROM BEHAVIORAL
SCIENCE THEORY

1. Increase the productivity and performance of the

employees
2. Help in analyzing and predicting the behavior of
the employees while they work.
3. The importance of social norms and values in
assessing the perceptions motivations and
behavior of people in an Oz.
4. The importance and role of accounting for
equilibrium and change in behavior of the
employee
5. The impact of social cognitive theory of learning
impact of reward and punishment and the use of
change theories in understanding Oz culture.

CONTRIBUTION FROM BEHAVIOURAL

SCIENCE RESEARCH:

1. Research on variables relevant for Oz health.

2. Study about the impact of Ozal and managerial
climate on the leadership behavioral and style

3. Studies about the group dynamic, cooperative

and competitive group goal structures on
causes and discrepancies of conflicts within
the groups.

4. Studies on the effects of Ozal and managerial

climate on leadership style

5. Studies on different communication networks

causes and consequences of conformity, group
problem solving and group dynamics.

CONTRIBUTIONS FROM PRACTICE

THEORY:
1. Theory and practice of laboratory training
methods.
2. New thoughts and ideas about education
process.
3. Advancement in consultation types and
theories.
4. Using the concept of MBO.
5. Effects from theories of group development
and helping the relationship of the client and
consultants of the Oz.

CONTRIBUTIONS FROM PRACTICE

RESEARCH:

1. The use of feedback system promotes the

Oz change.
2. Outcomes from action research studies
and guiding how the Oz can change.
3. Results of behaviors modeling training to
develop the human skills.
4. Outcomes showing the importance of
informal workgroups and applying long
term efforts in improving the Oz.
PRACTICE PRACTICE
RESEARCH THEORY

CHECK WHAT IS APPLICABLE TO SPECIFIC

SITUATION? WHAT HELPS ME TO SOLVE THE
PROBLEM???

APPLIED BEHAVIOUR SCIENCE

CHECK, WHAT WORKS WHAT FITS? WHAT

HELPS ME TO SOLVE THE REAL PROBLEMS??

BEHAVIORAL BEHAVIORAL
SCIENCE SCIENCE
RESEARCH THEORY
 ACTION
RESEARCH
AND OD
1. Action research attempts to meet the dual goals
of making action more effective and building a
body of scientific knowledge around that
action.Action here refers to programs and
interventions designed to solve problems and
improve conditions in an Oz.

2. Lets know the two faces of Action Research

• AS A PROCESS
 • AS A PROBLEM SOLVING
APPROACH
3. Action research is a process as it’s an ongoing
series of events and actions.
4. Definition: PROCESS “Action Research is the
process of systematically collecting research
data about an ongoing system relative to some
objective, goal, or need of that system, feeding
these data back into the system, taking actions
by altering selected variables within the system
based both on the data and on hypotheses, and
evaluating the results of actions by collecting
more data.”

Definition: APPROACH “:Action Research is

the application of the scientific methods of fact-
finding and experimentation to practical problems
requiring actions solutions and involving the
collaboration and cooperation of scientists,
practitioners, and laypersons”
 ACTION RESEARCH MODEL OF
OD PROCESS

JOING ACTION PLANNING ACTION

AND ACTION ACGTION (NEW
BEHAVIOUR)

FURTHER DATA DISCUSSION ON

GATHERING DISCUSS AND WORK FEEDBACK AND NEW
ON DATA FEEDBACK DATA AND ACTION
AND DATA BY CLIENT PLANNING

FEEDBACK
DATA GATHERING AND
DIAGNOSIS BY CA
FEEDBACK TO
CLIENT GROUPS

DATA GATHERING
CHECK WITH {REASSESSMENT OF
BEHAVIOURAL STATE OF THE SYSTEM}
SCIENTIST (CHANGE
AGENT, CA) DATA GATHERING

KEY MANAGERS
PERCEPTIONOF
PROBLEM
 1. The key aspects of the model are diagnosis, data
gathering, feedback to the client group, data
discussion and work by the client group, action
planning and again ACTION!!!!
2. The sequence id cyclic with focus on new
methods of problem solving

ACTION RESEARCH AS A
PROBLEM SOLVING
APPROACH

OBJECTI ACTION
VES STEP 1 ACTION
STEP 2

PLANNING FACT PLANNING

FINDING
1. Action research as a problem solving approach,
we see it as normative, with centrality of
objectives and different role of CA vis-à-vis
client.
2. Action research is linked to scientific method of
inquiry, its collaborative relations among
scientists, practitioners and laypersons, and a lot
of rich data is derived.
3. According to Corney, the steps of action
research are
a. The identification of problem
b. Its selection and a clear procedure for reaching
it.
c. Detailed recording of data in detail.
d. The significance of the inferences of
generalization with regard to action and desired
goals.
e. The continuous retesting of these generalizations
in action situation.
EXAMPLE:
PROBLEM: Problem of unproductive staff
meetings, poorly attended, members with low
commitment,
YOU are the MANAGER of both the meetings and
the staff and that you desire to make the meetings
more productive, the steps you would take are:
A. First step-gather data abt status quo.
 B. Suppose the data is gathered, and the data
suggests that the meetings are disliked and
regarded as unproductive.
C. Next step is to search for causes of the problem
and to generate one or more hypotheses from
which you deduce the consequences and test.
D. You come up with FOUR hypotheses.

NOTE THAT AN ACTION RESEARCH

HYPOTHESIS CONSISTS OF TWO
ASPECTS, A GOAL AND AN ACTION OR
PROCEDURE FOR ACHIEVING IT.

meetings will be more productive if

Staff
I solicit and use agenda topics from the staff rather
using my own agenda.
 Staff meetings will be more productive
if I rotate the chair of te meetings among the staff
rather than my always being the chairperson.

Staff meetings will be more productive

if we hold them once a week rather than twice a
week.

I have always run the staff meetings in

a brisk “all-business no-nonsense” fasion, perhaps if I
encourage more discussion and if I am more open
about my reactions, the staff meetings will be more
productive.
Each of these hypotheses has a goal
(More productive staff meetings)
Additional work would be done to
clarify steps in detail implement
each and collect data to know the
effect.

PARTICIPATION
AND
EMPOWERMENT
1. One of the