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Change Management
Models besides ADKAR® Lewin, Kotter and Krueger Simply explained
Change
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If you are planning a project that involves extensive changes in your company, systematic change management is essential. In addition to Prosci®’s ADKAR® model, there are numerous other change management models that are used successfully in practice. What are the strengths and limitations of each model and which model is best suited as a guide 🧭 for your company?
Successfully implementing Change in the Company - but how?
Whether it’s about new processes, technologies or ways of thinking, it’s not that easy to establish change in a company. This makes a clear roadmap all the more important. With the help of the Prosci® ADKAR® model, you can implement changes from the bottom up. It consists of five consecutive steps, focusing on the employees who are affected by the change.
In addition to ADKAR®, there are other practical models that divide change into clearly structured steps. For example, Lewin’s 3-phase model, Kotter’s 8-step model and Krueger’s 5-phase model. These three classics show how change can be implemented in a targeted and sustainable manner.
The 3-phase Model (Kurt Lewin)
Lewin’s 3-phase model is designed to plan and implement change processes in companies. A typical example: you want to implement a new software system - but how do you do it without chaos? According to Lewin, such a change process takes place in several phases.
It is not only the plan itself that is decisive, but above all the environment: because the motivation of employees plays a very important role. Without their active participation in the process, implementation is simply not possible.
There are Two Forces at Work in the Model
According to Lewin, there are two driving forces in change management. On the one hand, restraining forces arise that block change and want to hold on to the status quo in order to maintain stability and security. The driving force, on the other hand, supports the change and wants to bring about optimization in the company.
For change to happen, these two forces must be in imbalance. Ideally, the restraining force is reduced.
The Three Phases of the Model
The Ice Block Example 🧊
To better understand how the model works, it helps to imagine a block of ice 🧊 that has the shape of a cube. Now your challenge is to change the shape of this ice cube so that it is no longer square but spherical at the end.
One option would be to work on the block of ice with a chisel and remove ice from the corners and edges until the desired shape is achieved. This would take quite a lot of force and would probably be very time-consuming.
This can also be done more simply: you can proceed in such a way that you first defrost the ice cube, then bring it into the other shape and then freeze it again. This procedure describes Lewin’s model very well, as it works according to the same principle.
In the first phase of the Lewin model, an existing situation in the company is questioned and you realize that there is a need for optimization.
Before a change process can even begin, the existing status quo (often a comfort zone) must first be “defrosted”. The aim of this phase is to create the necessary motivation among employees to bring about change. To do this, they must first develop an awareness of the problem, see that the change is necessary and support it.
If they find the change difficult, support from managers is required! Regardless of whether a top-down approach or a bottom-up approach is used: managers must accompany employees in the process and take them by the hand. Only when emerging resistance (restraining force) has been overcome can the change process be implemented.
This phase requires greater effort, which is why you have to accept that the company’s performance will temporarily decline.
In the second phase, a vision and goals must be defined. This is followed by the introduction of new ideas and new procedures, technologies or models. While the changes are being implemented, the company is in a transition process. During this time, the focus is on training employees so that they become accustomed to the change. It is also important to give them recognition and appreciation for their contribution to the successful implementation of the change.
In the final phase of Lewin’s model, everything revolves around integrating the changes into the corporate culture, so that they have become the norm by the end of the phase. After the “refreeze”, the company can finally settle down again. If the procedure was successful, operational performance is now higher than before the change process began.
However, it is important that the change is stabilized and brought into balance in such a way that it remains permanent and there is no attempt to restore the old state after all. Regular checks and, if necessary, fine adjustments help with this.
Strengths of the Model 💪
With its simple and clear structure, Kurt Lewin’s model is particularly easy to understand. This makes it easy for managers to implement. The psychological aspect is strongly taken into account: motivation, participation as well as resistance on the part of employees are an integral part of the model. It also emphasizes the importance of “freezing” the new state in the third phase and ensuring that it stays that way.
Limitations of the Model 🛑
The simplicity of the model also shows a limit to the approach: change management is very much seen here as a one-off, rather static project. However, change management generally requires continuous adaptation. Nowadays, companies are usually in a permanent optimization and change process.
Overall, the 3-phase model provides a good basis for your change management, but is most likely not sufficient on its own. It is best to consult other models as well.
The 8-Step Model (John P. Kotter)
John P. Kotter’s 8-step model is based on Lewin’s model. It assumes not just three, but eight phases or stages that companies should go through in a change process. Kotter breaks down Lewin’s three phases even further and makes a finer subdivision.
The Eight Steps
Each individual phase must be actively accompanied by the managers. The model also states that the change can only be implemented successfully if your company masters all eight phases one after the other. There are no shortcuts!
First of all, there must be a reason or cause for change. Either your goal is to leave an existing situation behind, or it is about achieving a desired state because it promises new potential. Important: your employees must also rate the urgency as high in order for the “Sense of Urgency” to take effect.
The next step is about finding allies in the company who see the need for action just as clearly. A so-called leadership coalition is formed when it includes employees who enjoy a good reputation in the company and have influence. Ideally, the group should consist of employees from many different departments so that the idea can spread throughout the company and reach as many people as possible.
In the third phase, the leadership coalition develops a vision and strategies on the basis of which to strive for the new state. The concept also helps your employees to understand the end goal. A “towards” scenario offers more inspiration here than an “away from” scenario.
Now it is a matter of inspiring as many people in the company as possible with the vision, but the sense of urgency must be really tangible for the employees. It is not enough if they only have a rough understanding of the whole thing.
Hurdles and problems are part of every change process in a company. These can be both very visible (e.g. inadequate technical requirements) and less visible (resistance from employees). In this phase, it is crucial to uncover these resistances, take them seriously and eliminate them. This is the only way to drive the change forward.
In order to keep your employees motivated during the often lengthy process, it can also be useful to focus on short-term successes and celebrate their achievement. To do this, it is important to define meaningful interim goals. If you have achieved these well, this strengthens employees’ confidence in the overall process.
It becomes critical when managers rest on their laurels too soon. The fact that the first improvements are visible does not mean that the new situation has become firmly anchored in the company! It is important to keep at it and promote the change just as consistently as in the first six phases.
As Kotter put it: “While celebrating a win is fine, declaring the war won can be catastrophic.”
The final step is about establishing the new situation as normality so that your employees take it for granted and automatically associate it with the phrase ‘That’s how we do it here.’ It is important to keep reminding employees of the advantages. And new managers must also adopt and live the new approach and not fall back into the old pattern.
Strengths of the Model 💪
Kotter’s model takes a holistic, macro-level view of change in the company, because it addresses not only individual measures, but also the interplay of leadership, communication, structure and culture at company level. It offers (large) companies that want to implement extensive change a clear roadmap with a solid structure, which they can use as a guide. As with Lewin, the psychological aspect is very much at the center.
Limitations of the Model 🛑
As the business world today is characterized by a fast pace and high dynamics, the Kotter model is sometimes seen as too rigid and linear. This is especially true for very agile companies. Due to its top-down approach, the focus is also strongly on managers and less on the initiative of employees.
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5-Phase Model (Wilfried Krueger)
Wilfried Krueger’s 5-phase model takes Kotter’s 8-step model a step further and also offers a helpful concept for systematically and effectively shaping change processes in companies. The core ideas of the Kotter model are retained in the Krueger model and the same understanding of change prevails. However, the 5-phase model condenses Kotter’s eight steps into larger blocks of action.
The first task is to identify the need for change as part of an as-is analysis. For example, it may be necessary to implement new software so that you can keep up with the competition in the industry. Your employees and managers should also be mobilized in this first phase, as they will drive the change process forward. They can also make suggestions to highlight where there is an acute need for change.
The second phase is about developing a concrete and comprehensible concept, including the goals associated with the change. The individual goals then require specific, coordinated measures, which serve to implement them. It is important to focus on the following question when developing the concept: What changes are planned and what improvements is your company aiming for with them?
In this phase, your employees are informed about the planned changes. However, it is not enough for them to simply know about them. Rather, they should recognize the benefits and support the process. Fears and concerns that arise among your employees need to be overcome. After all, the active participation of employees in the process is essential.
Now you have to put the planned changes into practice. The individual goals should be given different levels of priority so that it is always clear which task is to be implemented when. Progress must be measured continuously and the procedure adjusted if necessary. In this phase in particular, it is important to support the employees and give answers to any questions. It may be useful to appoint a contact person who they can turn to if necessary.
And finally, it is essential to anchor the successful changes so that they become a permanent part of the company’s routine. It is crucial that those involved do not fall back into old patterns. This is best achieved by continuous repetition of the new procedures and permanent readjustment (fine-tuning). Furthermore, it is important to admit mistakes.
It is also essential that you maintain the willingness to change in the company so that continuous further development is possible. Because the new state is only a snapshot in time. Change is always ongoing.
Strengths of the Model 💪
A major strength of Krueger’s model is its simplicity, which makes it very easy to understand and apply. It takes into account both strategic and human aspects of change and offers a strong practical orientation. It also emphasizes the importance of continuing to foster readiness for future change even after implementation and embedding.
The 5-phase model also allows for reorganization within the phases and flexible adaptation of the process to the respective situation. This also makes regression in the process comprehensible.
Limitations of the Model 🛑
In the model, employees’ motivation to drive change is more of an extrinsic nature, i.e. caused by external factors. There is a cost-benefit analysis, which leads to their commitment to the change. This should be viewed somewhat critically with regard to the permanence of the change.
Which Approach suits your Company - Comparison of Models with ADKAR®
| Aspect | Lewin | Kotter | Krueger | ADKAR® (Prosci®) |
|---|---|---|---|---|
| Number of Phases / Steps | 3 phases | 8 steps | 5 phases | 5 steps |
| Phases / Steps in Detail | 1. Unfreeze 2. Change 3. Refreeze |
1. Create a sense of urgency 2. Build a powerful coalition 3. Form a strategic vision 4. Enlist a volunteer army 5. Enable action by removing barriers 6. Generate short-term wins 7. Sustain acceleration 8. Institute change |
1. Initialization 2. Conception 3. Mobilization 4. Implementation 5. Consistency |
1. Awareness 2. Desire 3. Knowledge 4. Ability 5. Reinforcement |
| Focus | Individual change (micro level) |
Leadership and communication processes (macro level) |
Participation, management processes, sustainability |
Focus on employees |
| Strengths | - Easy to get started - Clearly structured |
- Detailed - Practice-oriented |
- High practical relevance - Flexible in implementation |
- Individual-centered - Clear goals - Measurable |
| Limitations | - Too simple for complex changes | - Very linear - Focused on leadership - Regression unclear |
- Motivation often extrinsic | - Strong focus on individuals |
| Suitability | Small to medium-sized changes | Large and complex change projects | Medium to large organizations | Introduction of new tools, systems, processes |
Planning a Change Project? We work with the ADKAR® Model!
When you carry out a change project with us, we use the Prosci® ADKAR® model. This is because we focus strongly on individual employees and offer you systematic support in the change process in five steps if you are introducing new tools, processes or software systems. The success of your change process can be measured and monitored very well using the flexible ADKAR® model. Each ADKAR® phase includes its own target definition and performance review.
Feel free to contact us if you would like to tackle a change project!
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