adkar model

ADKAR model (Prosci)

The ADKAR model is a results-oriented change management tool that is simple and easy to understand, yet very effective for managers and change management teams. We receive more calls for information about this model than any other. It is used as a resistance management tool, an assessment device and to help change management teams organize their work.

This model helps answer questions like:

Why is communication so important during change? Why do employees resist change? Why do executive business leaders need to be active and visible sponsors of change? Why do employees become stressed and distracted from day to day work? How can I find the barrier point to change, and manage employee or management resistance? Why should front-line supervisors be active in coaching employees during change?

This series is designed to show how ADKAR can be used to diagnose the root cause for resistance, focus communications and identify the barrier points to change. We will also provide case studies to show how ADKAR can help transform a resistant employee or manager into an advocate for change and build change competency.

Getting started

Figure 1 shows the ADKAR elements as they align with management activities or other catalysts that enable employees to move from one ADKAR element to another. In this figure, the elements of ADKAR are shown on the left hand side, and the enablers or catalysts for change are shown on the right hand side. There is a close relationship between each goal of the ADKAR model. The model is goal-oriented and cumulative in that you must obtain each element in order.

In each module of this series we will address each step in the ADKAR model and discuss the choices you have as a manager or project team member. Specifically we will tie the phases of change for employees to the actions that you and other managers can take to more effectively manage change.

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Figure 1 - ADKAR Model mapped to enablers and management activities

An organization's culture, history, values and capacity for change are potential obstacles for change management teams. Consultants and change management teams often address these potential barriers with assessments. Assessments as a measurement instrument are interesting, but how can they really be used to affect change? Understanding the ADKAR model and the associated enablers for change will help answer this question and provide a useful foundation for how assessments can help manage change.

While research showed that only one third of change management teams used a formal change management model (from the 2003 Change Management Best Practices study), those study participants that did apply a model showed an increased ROI for their project.

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The first tutorial (Part 1) introduced the ADKAR model and how management activities can align to make change successful, as illustrated in Figure 1. Part 2 presented an approach for creating awareness of the need for change. Awareness is the first step in the ADKAR model. This tutorial, Part 3, presents methods that managers can use to build desire and motivate employees to support a change. Desire is the second step in the ADKAR model.


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http://www.change-management.com/Tutorial-ADKAR-series-2.htm


The first tutorial (Part 1) introduced ADKAR and how management activities can align to make change successful, as illustrated in Figure 1. This tutorial, Part 2, will present a model for creating awareness of the need for change. Awareness is the first step in the ADKAR model.

In this tutorial, the four key elements of awareness will be presented, including:

Key messages Channels (enablers) Timing Communicators


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Key messages

When creating awareness of the need for change, use Prosci's communication template shown in Figure 2. This communication template covers a broad spectrum of topics that are important to your employees when a change is initiated.

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Figure 2 - Prosci's communication template

In some cases you may not have answers to every area of this template. The most important message you can deliver when the answers are not currently known is to share when more information will be available.

Channels for building awareness

Management communication is the most common method for creating awareness of the need for change. Communications can range from face-to-face meetings to newsletters or email announcements. A complete list includes:

Face-to-face options Department or enterprise meetings

Group meetings

Focus groups

One-on-one meetings

Road show presentations (by project team)

Town Hall meetings

Team meetings

Brown bag lunches

Training courses and workshops

Alternate communication channels

Emails

Bulletin boards

Cafeteria postings

Change booklets

Corporate newsletters (feature section)

Demonstrations

Faxes

Frequently asked questions (memos or newsletter feature)

Internal memos

Intranet pop-ups

Leaflets

Posters

Project newsletters

Videos

Voicemails

Webcasts

Website (Intranet)

Word of mouth

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What is important to note about communication channels is that they should be carefully selected based on the timing and impact of the message on the audience. You would not want to use an email note, for example, when layoffs may be part of the change. Employees prefer face-to-face announcements for large impact changes.

Other channels for building awareness

Building awareness around the need for change is not limited to management communications. Other methods for building awareness that are not necessarily under the direct control of management include:

marketplace changes customer input ready-access to information employee rumors

Marketplace changes could include mergers and acquisitions, or the entry of new competitors. The recent announcement of a take-over bid of Disney by Comcast was reported in the news long before managers were able to inform employees of this possible business change. In most industries, employees are aware of competitor offerings or services that may pose a threat or challenge to the business.

Employees interact with customers every day. In cases where the business issues are customer-affecting, employees most likely have already heard complaints or requests from customers for a change. This constant interaction with customers creates a strong awareness of the need for change with employees, and in some cases can cause employees to be the first to surface the need for change with managers.

Depending on the culture and policies of your company, financial and business information may be readily available to employees. Such ready-access to information creates an ongoing awareness of the business condition and issues, and makes the introduction of change easier for employees.

Rumors from employees are an alternate channel as well. Change management teams may be faced with damage control when employees spread rumors about change. The worst part of rumors is that employees tend to make up answers to any questions they are unsure about. Rumors are more problematic if a communication plan is absent, if communications are delayed or if messages are not well formulated for each audience.

All of these alternate channels create awareness of the need for change with employees. However, even in the presence of these alternate channels, management communications are still required. These management communications, using the template provided above, are necessary to create a complete story and provide the proper context for the messages.

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Timing and audiences

When building awareness of the need for change, timing is critical. You should think of the change in three key phases as shown in Figure 3.

Figure 3 - Phases of change

When creating awareness of the need for change, you are balancing two difficult aspects related to the nature of change. The longer employees endure the change process, the greater the overall impact on productivity and on customers. However, if you withhold information about the change from employees until every last part of the change is known and understood, you risk "surprising" employees and you potentially lose the opportunity to have them involved in the overall design of the change. Research shows that it is preferable to share information early and often, and involve employees in the change process. Therefore, awareness building should begin as soon as it is clear that a change will be necessary.

The other aspect of timing is related to the Prosci communication template presented in Figure 2. Not every topic in this template should be covered with the very first announcement. In fact, careful dissemination of this material over a specified time period will be a critical success factor, and can make the difference between a mediocre communications plan and a great communications plan. Refer to the Change Management Toolkit for more information about timing and communications planning.

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Communicators

When building awareness of the need for change, the communicator is as important as the message. Based on the most recent benchmarking study, employees prefer two communicators:

CEO or business executive Direct supervisor

Employees want to hear elements from Sections 1 and 2 of the Prosci communication template (Figure 2) from the CEO or a business executive. Employees want to hear from the person at the highest possible level. Messages from Section 3 are best communicated by the direct supervisor because they relate to the personal impact of the change on employees.

Summary

Building awareness of the need for change is the most critical first step in managing change. Successfully using multiple channels for building awareness, covering all the key messages and timing those messages carefully will ensure that the change process will begin in the best possible way.

Identifying your audiences for change

Employees divide into three groups when faced with change. The first group is open and willing to change. The second group is uncertain and hesitant about change. The third group will not change.

Depending on your organization and the type of change taking place, the distribution of employees in each group will vary. For simple changes with little impact, you may find that 90% of your employees fall into Group 1, 10% fall into Group 2 and no employees fall into Group 3. For complex changes that have a significant impact on individuals, then the distribution may be much different, with a small fraction falling into Group 1 and 3, and a large fraction into Group 2. Regardless of the distribution of employees into each group, the approach used to build desire is similar.

Group 1

For Group 1, you will be engaging their support and visible participation to help move the change forward. Each employee in this group can become a strong and active advocate for change, and can influence the background conversation with other employees. This background network is a key channel to reach Group 2 employees.

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Group 2

Group 2 employees require the most time and attention. These employees are the central focus of this tutorial, and their choice to support or not support the change will be influenced by how effectively the change is managed. Direct supervisors and coaches will be the primary enablers. Prosci's top-10 management actions to build desire with employees in this group are listed below.

Group 3

Group 3 employees, by definition, are not going to change nor will they support the change within the organization. They are beginning an exit strategy that could include moving to another group or department, moving to another company, or leaving the workforce (e.g., retirement). Group 3 employees are potentially dangerous for the organization up to the time a definitive decision has been made regarding their future. Before this decision point, Group 3 employees can negatively impact the background conversation and can be active resistors to change (in some cases sabotage the change). Special interventions for dealing with Group 3 employees is addressed near the end of this tutorial.

Building desire

Managers cannot dictate or control an employee's desire to change. Employees choose. However, that does not mean that managers are powerless to achieve this result with their employees. The enablers or elements that may create a desire to change include:

Fear of job loss Discontent with the current state Imminent negative consequences Enhanced job security Affiliation and sense of belonging Career advancement Acquisition of power or position Ownership for the future state Incentive or compensation Trust and respect for leadership Hope in future state

Personal context for change

These positive and negative motivating factors are evaluated by employees within the following personal context:

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An employee's personal and family situation (health, financial position, stability, mobility, relationships, etc.)

An employee's professional career history and plans (successes, failures, promotions, aspirations, years left before retirement, 2nd career potential, etc.)

The degree that this change will affect them personally (in some cases even large changes can have only a minimal impact on some employees)

Organizational context for change

Employees also evaluate these positive and negative motivating factors based on:

an organization's history with change (past change success or failure, the likelihood that this change will really happen, consequences for employees that have resisted change in the past)

an organization's values and culture (how the organization treats employees and how employees treat one another)

Prosci's top-10 action steps for managers

Listed below are Prosci's top-10 methods for creating a desire to change. However, the first step before using any of the methods suggested below is to ensure that each employee is aware of the need for change as discussed in Part 2 of this ADKAR series. This is a prerequisite before addressing an employee's desire to support and participate in a change. Part of building awareness around the need for change is ensuring that business leaders have created an urgency for change with employees. This is part of sharing why the change is needed and what is the risk of not changing (see Part 2 of this series for more information).

The methods provided here are techniques that have been demonstrated to work by other organizations. However, it is not a "one-size-fits-all" approach. The combination of a specific change, a specific organization and each unique employee will result in a course of action that is unique to each person and the situation. In addition, some employees are motivated by positive opportunities, while others are motivated by avoidance of negative consequences. Carefully choose the right approach for your situation.

Method 1 - Listen and understand objections

A critical step any manager should take when creating desire to change is to listen. The power of true listening and empathy is often underestimated. In many cases employees simply want to be heard and to voice their objections. Understanding these objections can often provide a clear path

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toward resolution. Listening can also help managers identify misunderstandings about the change. Rumors and background conversation often produce incorrect messages and wrong perceptions. Only through listening can managers identify these wrong perceptions and provide a correct and clear story about the change.

Caution: When engaging in this process, managers should avoid debating or arguing with employees. The goal is to listen and understand, and provide clarity about the change. The goal is not to persuade or convince the employee to go along with the change. Recall in Part 2 of this series the discussion about change as a process, not an event. Managers should allow employees time to move through the transition, and not try to manage the change with one meeting.

Method 2 - Focus on the "what" and let go of the "how"

In some types of changes, it is effective for managers to let go of the "how" and simply communicate "what" needs to change. This process transfers ownership of the solution to employees. Managers can share a clear vision of the end state, along with specific goals and timelines with employees. Employees then take on the task of achieving that vision. Employee involvement and ownership naturally builds desire to support the change, and ensures that employee objections are addressed in their solution. This technique is especially useful in small groups or departments in which the change falls within the scope of that group, and has little or no impact on other groups or departments.

Caution: If any combination of the following characteristics is present, then this process is more difficult to implement:

a change becomes significantly large such that cross-department coordination and design is required

the total number of employees is sufficiently large that they all cannot reasonably be involved in and take ownership of the design

the design of the future state is already pre-determined and cannot be changed the change is dramatic and is happening quickly

Attempts to simulate employee participation through interviews, focus groups and other channels of collecting input from large groups of employees can backfire. Employee input does not equal employee ownership of the change. Input from employees is a good and necessary process, but will not necessarily create a desire to change when direct involvement and ownership are absent.

Method 3 - Remove barriers

Desire to change can be inhibited by obstacles or barriers. These barriers may relate to family, personal issues, physical limitations or money. The first step when using this method is to have followed Method 1 so that you fully understand the individual situation with this employee.

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What may appear to be resistance or objections to the change may be disguised barriers that the employee cannot see past. Identify the barriers clearly. Determine ways that the business may be able to address these barriers.

For example, if a change involves assigning a manager to a new location that requires commuting 2-hours each way, then a physical barrier for this manager may be a son or daughter who does not want to leave their current school (nor does the parent wish to miss the activities of their child). By allowing this manager to arrange a home office for two or three days each week, then the barrier to change related to family impact may be removed.

Method 4 - Provide simple, clear choices and consequences

Building desire is ultimately about choice. Managers can facilitate this process by being clear about the choices employees have during change. In many cases, the actual change may be out of the control of front-line supervisors and managers. In these cases, it is very important that managers communicate in simple and clear terms what the choices and consequences are for each employee.

The City of Denver, Colorado, recently began one of the largest road construction projects in the state to widen the primary interstate highway that runs through the city. This project is called T-Rex. The design and building process were carefully planned many years before construction actually began. The construction crews on this project did not have control over the final design nor the construction sequence. Commuters certainly did not have control. However, this project was a role model for managing complex change. In this case the citizens of Denver and the surrounding areas were those impacted by the change. The project team created an ongoing communication campaign involving TV, radio and other media to:

1. Let people know what would happen and when.2. Provide alternate routes and choices for commuting into Denver.3. Share the consequences of taking certain routes at certain times, including providing

ongoing information about the expected delays along each route.

Providing simple and clear choices, along with the consequences of those choices, puts the ownership and control back into the hands of employees.

Method 5 - Create hope

Many people will respond to the opportunity for better things in the future. They want to have hope. Managers can create desire to change by sharing their passion for change, creating excitement and enthusiasm, and creating hope in a better future for employees and for the organization. People will follow a leader that can create hope and whom they respect and trust.

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This method is the most effective when executive leadership, through visible and active participation with employees, creates hope and energy around the future state.

Caution: Creating hope takes a special kind of person. We have all known individuals in our lives and throughout history who have the traits of leadership that cause people to hope and to follow. They create a vision and build promise for a better future. Public figures include John F. Kennedy, Martin Luther King, and Gandhi. Leaders with these qualities are rare but not absent in both government and in business today. If your organization has this type of leadership, then building desire to change becomes much easier.

Method 6 - Show the benefits in a real and tangible way

For some employees seeing is believing. Demonstrating the benefits of change in a real and tangible way can create desire with employees. Examples could include:

Sharing case studies of other companies who have successfully completed a similar change (and the results they achieved).

Inviting guests to provide personal testimonials of how a similar type of change resulted in success for their organization.

Visibly demonstrating the success of pilot programs or trials within your own organization (share small wins and celebrate success publicly).

Making the change real and demonstrating that success is possible can remove doubts and fears that some employees feel about change.

Method 7 - Make a personal appeal

When a manager has a close working relationship with an employee, using a personal appeal to support the change can create desire within an employee. A personal appeal works best with honest, open relationships where there is a high degree of trust and respect. A personal appeal may sound like:

"I believe in this change."

"It is important to me."

"I want your support."

"If you go with me on this, I will make sure this works out."

In a personal appeal, there is both an emotional component and an "I'm counting on you" component. The emotional component is part of each persons desire to support the people they

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are close to and whom they trust. The "I'm counting on you" component has built in a sense that the employee will be taken care of in the future, regardless of how things turn out with the change. Both of these elements can build desire to support change.

Method 8 - Convert the strongest dissenters

Within every organization there exist outspoken opinion leaders. When one or more of these strong and vocal employees are against change, they can negatively influence many other employees within the organization. By targeting these strongest dissenters, managers can use special tactics and interventions to convert these employees to support the change. By doing so, the strongest dissenters can become your strongest advocates. They are often equally vocal in their support as they were in their resistance.

By focusing your energy on a few strong resistors rather than on large groups of employees, two objectives are achieved for building desire to change. First, you regain some control over the powerful background conversation that takes place around the coffee pot and during breaks between employees. Second, you gain sponsors of change that are already influential with their peers. If you are not successful in converting these strongest dissenters, then Method 9 may be a viable option.

Method 9 - Create a sacrifice

Often termed the "sacrificial lamb," removing a key manager that is demonstrating resistance to change sends a powerful signal to the organization as a whole. The message is:

They are serious about this change. Resistance will not be tolerated. The consequences for not moving ahead with the organization are real and severe.

This method for creating desire to change is best used with a "Group 3" employee as discussed earlier. Often times these employees would be leaving the organization soon anyway. It is not necessary for this to be a negative experience for the manager that is leaving. Termination packages, early retirement offerings or a number of other programs can make this process good for the manager leaving, and at the same time send the right message to the organization.

Does this always need to be perceived by other employees as a harsh course of action? A recent case study shows how this method was used in a way that was not hurtful to the organization or the person leaving. A senior level manager at a financial services firm was outspoken and critical of changes planned in both processes and systems. The resistance continued long enough that many employees came to the conclusion that this change would not happen after all. They had learned from past experience that if this key manager was opposed to the change, then it did not happen. The resistance was so plain that even an external consultant commented on the risk.

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Since the culture and values in this organization were very family-oriented (we take care of one another), imagine the surprise when the CEO announced that this resistant manager would be leaving the organization. What was notable in this case, however, was how the termination was presented in public. The manager was being given a celebration send-off and early retirement plan for his long-standing contribution to the company. The separation was positive for the manager, and, in his own way, the CEO sent a message to the organization. That message was that we can manage change and continue to live our values.

Caution: Organizations should not look for a sacrificial lamb as a standard practice. This tool should be used after other options have failed and the change is at risk. When fear is created in an organization, this fear can play out in both negative and positive ways. Once a decision like this has been made, the organization needs to carefully manage the fallout from this approach.

Method 10 - Use money or power

When mid-level or senior managers are resistant to change, yet are critical to the success of the change and the organization, two incentives may be required to secure their support. These incentives would be used when all other methods for building desire have failed.

1. Increase their compensation or create a bonus program such that they are directly rewarded for the successful completion of the change.

2. Offer a promotion to a position they desire.

In short, bargain. When a manager is necessary to ensure a smooth transition, and assuming that other barriers, obstacles or objections have been removed, then at some point you have to decide what you are willing to give up in order to gain their support. What is their contribution worth to the business, and how can the business negotiate for this endorsement and support. This negotiation should be specific on the actions and behaviors that are expected to support the change.

An example of the need for this negotiation is with mergers and acquisitions. In these types of changes, key managers are necessary for successful transition. However, some of these key managers may have opposed the buy-out or merger. These special circumstances require different methods for keeping these critical managers on-board. Money and position are two tools that may create a desire to support the change in these circumstances.

Summary

Building desire to change is the second step in managing change. Successfully using multiple methods for building desire and understanding that desire is rooted in an individual choice are key ingredients for success with this step.

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The first tutorial (Part 1) introduced the ADKAR model as illustrated in Figure 1. Part 2 presented an approach for creating awareness of the need for change. Awareness is the first step in the ADKAR model. Part 3 presented methods that managers can use to build desire and motivate employees to support a change. This tutorial, Part 4, discusses the role of knowledge in the change process.


A case study - a school superintendent in the hot seat

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In this case study, knowledge was manipulated and withheld from key stakeholders during a time of fiscal crisis. That failure, not the change itself, created animosity, distrust and extreme resistance.

The Department of Education audited a local school district and found that several schools did not comply with the required instructional time (total student hours) for the school year. The initial penalty for the school district was a projected $5M in state funding which they would be forced to return for non-compliance. The superintendent for this school district was instructed by the school board to take whatever steps were necessary to correct this problem and ensure that each school was in compliance in the future.

In this school district, site-based decision-making was in place for each school. In this process, each school has local control and ownership for many school processes and decisions, including decisions related to the schedule. Because the process of complying with the state requirements demanded dramatic change quickly, the superintendent elected to bypass the site-based decision-making process and invoke an emergency provision that allowed this problem to be resolved at a district level. Not only did the district staff elect to bypass the site-based decision process, they also decided to minimize communications during the process until the solution was fully developed.

Their argument for withholding knowledge about the options and resulting schedule changes was something that all of us may be able to relate to as managers -- there were too many unknowns and things kept changing. Moreover, the process was happening very quickly. In fact, every time the district staff met with the state auditors, they were told about additional requirements or changes that needed to be made.

Back at the schools, the process did not appear to be moving quickly. In fact, quite the opposite. The only communication that parents and teachers received was that the schedule would change from a block system to a standard 6-period schedule to meet state requirements effective the next school year. For parents and students who learned about this decision only eight weeks before the end of the term, the impact was surprise and shock. Many did not know what that might mean for their students who would be seniors the following year (would they meet their graduation requirements?). Some assumed that the courses they needed may not be available under the new schedule. They became worried and anxious about the process.

Weeks went by and no new information was released from the district staff. The teachers decided to take action and began to protest. Some did not want the additional time requirements to change the schedule structure (from 90-minute blocks to traditional 50-minute classes). Teachers began to organize against the change. Parents and teachers met to discuss the impacts of this decision. Angry parents vented their frustration at the overall process and lack of communication. Students presented their concerns and apprehensions about the change, some in tears over the potential impact on their final year in high school and plans for college.

During this time, the district staff and the superintendent remained quiet, busily working on what they believed to be the best solution for each school. The longer they withheld knowledge about the change, the greater the unrest became. In this vacuum of knowledge, a teachers' group filed a

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formal appeal to the school board. A local advisory committee within the school prepared a list of ten questions and demanded a face-to-face meeting with the superintendent.

Parents, teachers and students were fed up. Through the grapevine, they now understood that the decision was final -- a "done deal." This made some even more upset. It was time to confront the person in charge and find out what was going on. The superintendent finally agreed to attend a parent-teacher meeting. The date was set.

The meeting began amicably, but body language within the group foretold of the unrest that was soon to surface. The superintendent began with an introductory statement and answered a few questions. These initial comments dealt with why the change was required, but most in attendance already knew about the state compliance issues. Since the school's accreditation was potentially at risk, awareness of the need for change and a desire to change were evident in all parties. The issue was knowledge about the change and the lack of communication about the proposed solution.

It did not take long for the questions to become more heated.

"Why were the parents and teachers excluded from the process of creating a solution to this problem?"

"Why was information withheld about the proposed schedule change?"

"What options were considered, and why were these options not shared with us?"

"Why did you not share key decisions when they were made?"

"Now that the crisis is over, can the site-based decision team have input on the schedule structure for the following year?"

This final question, when answered "no," resulted in one teacher leaving the meeting early, simply stating that "My further input is not required or wanted on this topic." The superintendent was in the hot seat, trying to justify why knowledge was withheld and why participation was not solicited. His defense was simple. "We created the best possible answer to the problem in the time we had available." His defense was based on the correctness of the solution, not the process in which the solution was developed. The superintendent's decision to withhold knowledge, even when circumstances were chaotic and rushed, had unforeseen consequences.

Knowledge is power. The absence of knowledge creates uncertainly and fear. In taking steps to resolve a crisis, the superintendent ignored one of the most fundamental stages for managing change - the creation of knowledge. By withholding knowledge, he was withholding power. This upset and insulted teachers and parents in the site-based decision making teams. For students, withholding knowledge created stress and fear of the unknown. What will happen to my plans for school next year? How will this impact my college applications? The results were devastating to students, parents and for some teachers. The reputation of the district in the eyes of parents and teachers was affected.

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In this case study, it turns out that teachers and parents were accepting of the 11th hour solution created by the district. They understood the reason the change was needed and had a desire to support the change. The breakdown occurred in how knowledge was manipulated and withheld from key stakeholders during a time of fiscal crisis. That failure, not the actual decision or solution, created animosity, distrust and an overall lack of confidence. It was not the failure to design a solution to the problem, but rather the lack of change management that crippled this change.

The role of knowledge

Knowledge is the third goal in the ADKAR model. Once awareness and desire are achieved, knowledge is the next step to enable change. Knowledge refers to the learning process which includes learning about the change and information about how to change.

Employees need to know what the future state will look like. This goes beyond the high level descriptions that may have been provided early on during the change process. Employees need to understand what will be different and what will stay the same. What are the new business processes? What are the new procedures? How will jobs change and what skills are needed to achieve these new jobs? What new systems will be in place? In the absence of decisions about the change, employees should be told when more information will be known or when key decisions will be made. Don't allow a vacuum of knowledge to be filled with rumor and mis-information.

Creating knowledge

Knowledge can be created with employees through a range of channels from formal training classes to observations and examples. In general, knowledge can be created through:

training and education programs open and ready access to information examples and role models

In addition to these channels for building knowledge, the type of information can be separated into:

1. Knowledge about the future state including the new operating principles, processes, systems and organization structure or job roles.

2. Knowledge about the skills, behavior and information that employees will need in order to operate in the new environment.

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Training and education programs

The most common method for building knowledge among employees is through structured training and education programs. For large changes, these training programs are often mandatory programs for employees and are part of the overall project implementation. Training programs could range from web-based online training to formal class-room training. For small changes, training could include special presentations at normal staff meetings or simply handouts discussing the change and what employees should do differently in the future.

Regardless of the training method, the content should include:

1. A restatement of the business reasons for change and both internal and external market drivers.

2. A detailed description of the future state including a discussion about the new business direction, new business processes, enabling technology and tools, and new job roles.

3. Specifics about the skills, knowledge and behaviors that are needed by employees to support the change.

4. What to do when the new processes or tools do not work. Many training programs skip this last topic, and when processes or tools fail, employees revert back to the old way of doing work. Therefore it is necessary to instruct employees on how to handle problems during the implementation of the change.

Open and ready access to information

Knowledge is not always "delivered" to employees through pro-active or required training programs. Many employees learn by accessing the information that is readily available to them. The more available information is, the more useful is this channel of learning. In most companies today, this would be electronic access through intranets, shared file servers or web pages. Ready access could also include physical access to a project room or project library, or bulletin boards. Another alternative is kiosks or special work stations that demo new tools or systems. Information shared through these channels could include:

project schedules and milestones process flowcharts and descriptions new tools and software applications new job descriptions and roles new floor layouts or building designs new policies and procedures

Examples and role models

Even after formalized training, knowledge can be transferred through observation and examples. Role models, for example, can provide other employees with hands-on demonstrations that are

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often more meaningful than classroom training. To facilitate this process, employees that are further along in the learning curve should be identified as mentors or advisors that others can go to for assistance. Be sure to select employees that are well-respected by their peers.

Pitfalls to avoid

This tutorial stresses the importance of building knowledge. But, don't jump the gun or get ahead of yourself. Many managers, in their enthusiasm to deploy a new change, often skip the first two element of ADKAR and jump immediately to knowledge. In other words, managers skip the awareness and desire elements of the ADKAR model and think that change begins with training employees. The old adage, "you can lead a horse to water, but you cannot make it drink," is well-suited for this situation. Creating knowledge in employees can only begin when employees have the desire to learn and are ready to embrace the change. Managers who skip the first two elements in the ADKAR model often find themselves repeating the training or finding other ways to educate employees because they were not ready to pay attention and learn the first time around. Consider for a moment how many times you as a manager have elected to change how things are done and jumped immediately to what training or education will be needed by employees. It is a common mis-step to make this leap because you have already considered the business reasons for the change and have already made the decision that it is the right thing to do. Do not forget that you are several steps ahead of employees in the process, and you need to address awareness and desire before creating knowledge.

Too often project teams and managers assume that training or new knowledge translates directly to ability. The gap between knowledge and ability can be far greater and take much more time than business leaders would like. Managers become frustrated. The ADKAR model is a useful tool for crossing the bridge between knowledge and ability, and turning your training programs into business results.

Background for the series

The first tutorial (Part 1) introduced the ADKAR model as illustrated in Figure 1. Part 2 presented an approach for creating awareness of the need for change. Awareness is the first element in the ADKAR model. Part 3 presented methods that managers can use to build desire and motivate employees to support a change. Part 4, discussed the role of knowledge in the change process. This tutorial presents how to develop ability to change and how to counter common obstacles to ability.

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Ability

Ability is the fourth component of the ADKAR model. Ability represents the degree to which a person can perform the required skills and act on the knowledge about how to change. When we ask employees to develop the ability to change, we are asking them to act differently or work in a new way. When we ask employees to act or work differently, we are really asking them to:

1. Develop new or different physical capabilities (motor skills).

2. Approach work differently and apply new work methods (analytical or cognitive ability).

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3. Interact differently with coworkers, customers and suppliers (changes in behavior)

Ability is a common barrier point to change, but for reasons that may surprise you. Employees may not be able to develop the ability to change because of a combination of factors that, if taken one at a time, can be addressed to result in a successful change.

Physical motor skill ability

Changes that require translating knowledge into physical motor skills include examples such as:

Handling of products Running manufacturing equipment Operating machinery or motorized equipment Keyboarding and handwriting skills

Cognitive or analytical ability

Changes that require translating knowledge into analytical or cognitive skills include examples such as:

Problem-solving Implementing new business policies and procedures Public speaking Applied science and engineering Business management Sales and marketing

Behavior

Changes that require translating knowledge into new behavior include examples such as:

Interpersonal relationships Team dynamics Stopping bad habits

Understanding each of these change areas can help you understand how your business changes impact employees and their ability to change. These abilities can also be mapped to common business changes, including:

Process change Technology or system change Organization change Job role change Acquisitions and mergers

By connecting these common business changes to the new abilities required of employees, you can begin to assess the ease or difficulty of implementing change in different situations. You can

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also anticipate specific barriers to developing ability to change based on different business scenarios. For example, a business change that requires employees to develop physical, analytical and behavioral abilities will be much more difficult to implement than a business change that only impacts one of these areas.

Three steps for developing ability to change

Step 1 - Developing ability takes time, practice and coaching. If you are seeing improvement, then you are on the right track. Your focus should be on effective coaching and mentoring techniques to develop the right skills and abilities. Your role will be to ensure that coaches, supervisors, team leaders and early adopters of change are prepared to assist employees through the "learning curve" of developing ability. That means that each of these key players will need to:

Help employees apply what they have learned to real work situations. Ensure that employees have the time and opportunities to develop new skills. Provide solutions when the "real work" does not match what they learned in training. Be a role model for how to act in the new environment. Be able to identify when "more time" is not the answer and external intervention is required.

It is important to note that the rate at which an employee develops ability is not a solid predictor of their ultimate performance. In some cases, employees who take longer to develop ability achieve a higher level of performance over time than other employees who may learn faster. As shown in Figure 1, Employee A developed ability at a fast rate, but Employee B ultimately performed at a higher level.

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Figure 1 - Rate of learning vs. ultimate performance level

Step 2 - Diagnosing the root cause or obstacle. If you have decided that external intervention is required, then the first step is to ensure that you intervene in the right problem area. Developing ability is often a multi-prong effort by employees. You may be dealing with a single change from a business perspective, but employees are dealing with multiple facets of that change.

For example, a change in a manufacturing organization could require changes in work processes and techniques (analytical and cognitive skills), change in physical capabilities (handing new equipment or operating new machinery) and changes in behavior (who they work with and how they work with different employees). If you are careless in your intervention, you may attempt to address an analytical problem when the root cause may be a physical issue, or vice versa. As a manager or agent of change, you can use this simple breakdown of ability shown in the table below to better understand the common barriers or obstacles to ability.

Ability type Examples of common obstacles

Physical motor skills

Individual: strength, coordination, size, disabilities, medical conditions

Environmental: space limitations, external constraints

Analytical or cognitive

Mental: experience, intellect, memory

Psychological blocks: past history, fear of failure

BehavioralHabits and addictions

Underlying values and belief systems

The better you understand the potential barriers to developing ability for your change, the more likely you will be able to identify the true root cause. You more than likely will be faced with one of two scenarios.

Two scenarios

Scenario 1 - Change the person or alter the change. In some cases, you may decide that the root cause is something that you are unable or unwilling to address. For example, if an employee's underlying value system prevents him or her from making a behavior change, then this change may not be right for that person. You will either need to alter the expected behavior to match this person's value system, or remove the person from the situation. Likewise, if a change requires a physical skill that exceeds the person's capabilities, this change may not be appropriate for that person. You will need to remove the person from that situation or alter the requirements of the change such that it meets the physical capability of that employee.

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Scenario 2 - Remove the barriers to ability. In many cases, a manager or co-worker can assist in removing barriers to ability. Oftentimes, external intervention can be useful to remove those obstacles that prevent someone from developing the needed abilities to support the change. Usually this intervention is planned and intentional, but sometimes it can happen accidentally as illustrated in this case study.

Case study - a step into uncharted waters

Jennifer was a new customer service representative in a call center. Her primary role was to take customer calls and process orders for products. The call center manager decided to implement a change for all agents that would increase the total revenue for the center. Each agent was to begin cross-selling products based on the customers' past history and what they were buying.

The change was announced and a training course was conducted for all agents. Jennifer loved her job and looked forward to this new challenge. She was aware of the business reasons for this change and wanted to support this new initiative. She was also excited about the additional commissions she would earn from cross-selling. She attended training with the other agents and developed a good working knowledge of the new process for cross-selling to customers.

A month passed and Jennifer had not been successful at cross-selling any products. Her supervisor noticed that she was not making progress and he began more careful observations. After monitoring several calls, he noticed that Jennifer was not even attempting to cross-sell. She simply took the order from the customer and hung up. When the supervisor ask Jennifer about this, her reply was that she was not sure what to say to the customer. After careful thought, the supervisor prepared scripts that Jennifer could use during the calls. He was sure this would solve the problem. Weeks went by and Jennifer was still not cross-selling. When asked why again, Jennifer responded that she was not sure what scripts to use in different situations, and she was afraid of saying the wrong thing. This prompted the supervisor to enroll a co-worker to conduct role-plays with Jennifer until she was more comfortable matching the scripts to different call situations. Again, weeks went by and Jennifer showed little progress. The supervisor was wondering if Jennifer was the right person for this new role.

Not long afterward, a new program was implemented where every customer would be called to confirm that their order had arrived in good condition. In these follow-up calls, if appropriate, the agents would learn more about the customer and attempt to cross-sell other products and services. All the agents were to be included in this process except Jennifer. She was told that she would not be needed for this additional role because the other agents were better able to interact with and cross-sell to customers.

Jennifer was dramatically affected by this turn of events and personally hurt. She was being left out. She was told that she could not do something that was part of her job. Something clicked.

The next day she ask another agent what was the single most effective cross-selling line. On her very first call she tried it out. To her surprise, the customer said yes. She had taken the first step into uncharted waters and it worked. She tried it again on the next call, and then the next. Within a matter of weeks, Jennifer became the highest performing agent in terms of cross-sold products

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for the center. Her barrier to ability was a mental block based on her upbringing and past history of dealing with people. Once that mental block was removed, her ability developed quickly and she was successful at the change.

Step 3 - Planning and implementing the intervention. Some changes require outside intervention to assist in developing the ability to change. Even in cases where the desire to change is evident and the knowledge of how to change is present, mental or physical barriers may be strong enough to prevent an individual from changing without external intervention. This intervention may be in the form of oversight and individual counseling, or may be in the form of physical intervention, including isolating a person from the source of the problem or with medication (example would be drugs to assist with nicotine addiction).

You should plan these types of interventions carefully to address the root cause of the problem. Then implement the intervention and assess the results. If you first do not succeed, continue to assess if the root cause was identified properly. In the case study with Jennifer, the supervisor attempted to intervene, but his assessment of the root cause of the problem was incorrect. He assumed that Jennifer needed support with the analytical part of cross-selling (knowing what to say when). In fact, her obstacle was much more deeply rooted in a psychological barrier. It took a different type of intervention (the shock of not allowing her to participate in a new work activity) to remove this mental block.

In some cases, the supervisor may not be the best person to intervene or provide assistance. Sometimes a respected co-worker or a higher senior manager may be the best match.

Summary

For many types of changes, you can anticipate the abilities that will be required by employees. For example, introduction of a new software program may only require analytical or cognitive skills. Implementing a reengineered business process, on the other hand, can fundamentally change job roles and duties. Reengineered business processes often require new abilities in all three areas (physical, analytical and behavioral).

Using the ADKAR model and the analysis presented in this tutorial, you can evaluate potential barriers to ability and plan effectively for the unique challenges of your business change. When helping employees with barriers to developing ability, you can use the breakdown of physical, analytical and cognitive, and behavioral abilities to correctly identify the root cause of the problem and remove those obstacles to change. Remember that ADKAR only defines the desired goal or outcome, in this case ability. Your change management activities will be the key to achieving this goal.

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***© 2004 Prosci. All Rights Reserved.

The first tutorial (Part 1) introduced the ADKAR model as illustrated in Figure 1. Part 2 presented an approach for creating awareness of the need for change. Awareness is the first step in the ADKAR model. Part 3 presented methods that managers can use to build desire and motivate employees to support a change. Part 4, discussed the role of knowledge in the change process. Part 5 presented how to develop ability to change and how to address common obstacles to ability. This tutorial focuses on reinforcement and recognition during the change process.


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Reinforcement and the Employee-Manager Disconnect

Are managers and supervisors out of touch with their workforce when it comes to incentives and reinforcement?

Surprising research completed by Prosci in 2004 reveals that the answer to this question is a resounding "YES." Customer service employees and managers were interviewed about the most powerful incentives and recognition programs in the workplace. Employees rated the following job factors as their Top-Five list of things that are most motivating to them:

1. My relationship with my supervisor (positive leadership skills).

2. Relationships with my co-workers.

3. Benefits or improvements in benefit offerings.

4. Adequate and appropriate work tools and equipment.

5. Competitive pay.

Managers and supervisors rated the following job factors as their Top-Five list of things they use to motivate or recognize their employees:

1. Structured incentive programs.

2. Career-pathing.

3. Feedback to employees.

4. Personal awards.

5. Their positive leadership skills.

Here is the disconnect and the surprise:

Managers and supervisors said that "structured incentive programs" are Number One among the Top-Five things they use to motivate and recognize their employees. Employees did not even include "incentives" in their Top-Five list. Employees rated positive leadership skills of their supervisor as the number one motivating factor. Managers ranked this item last in their Top-five list.

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When we then asked these same employees to list the most de-motivating things about their jobs. Here's what they said:

Employees' Top Five De-motivators:

1. Poor leadership skills of supervisors

2. Inadequate tools and equipment

3. Inadequate work environment

4. Inadequate or no benefits

5. Irrelevant incentives

Most De-motivating Job Factors

Employees cited "poor leadership skills of supervisors" to be their number one de-motivator. Managers and supervisors didn't cite this factor at all in their list of de-motivators for employees. Employees also listed "irrelevant incentives" as a de-motivator. "Irrelevant incentives" can include donuts for dieters, hockey tickets for opera fans, or an "Employee of the Year" plaque in a workplace where the average length of service is nine months. "Irrelevant incentives" can be any incentives that don't match the recipient's personal goals or preferences. Employees consider "irrelevant incentives" more de-motivating than no incentives at all.

The effects of the disconnect

What conclusions can we draw?

1. Employees often value different things than what their managers and supervisors believe they do.

2. Manager's underestimate their own personal impact when it comes to motivating and recognizing their employees.

3. Employees value basic job requirements including tools, work environment and pay above structured incentive programs that can produce incentives that are irrelevant for some fraction of the employee population.

We can also conclude that the most motivating factors for employees have to do with their relationships with people on the job. When describing their ideal supervisor, employees used terms such as "approachable," "helpful" and "knowledgeable." Employees desire personal

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recognition and appreciation from their supervisor. These are all "positive leadership skills." When discussing "co-workers," they used terms such as "fun" and "teams."

On the other hand, when managers and supervisors described a positive environment, they cited contests, prizes and gifts.

The critical take-away for change management

The lesson from this study for change managers is that the role of coaches and supervisors during the change process is one of the most important channels for reinforcing change. Their leadership skills and change management competencies cannot be overlooked, nor can change be managed just by a few members of the project team. A structured coaching plan and training for front-line supervisors is essential for success through the change process.

A structured coaching plan is included in the new Change Management Pilot application.

***© 2004 Prosci. All Rights Reserved.

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http://www.change-management.com/cm-pilot.htm