Theories of Planned Change/Development

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1 Theories of Planned Change/Development Module Details 1. Subject Name Adult Education 2. Paper Name Program Planning and Implimentation 3. Module Number Module Name Theories of Planned Change/Development 5. Principal Investigator Prof. Vandana Chakrabarti, Director, Lifelong Learning and Extension, SNDT Women s University, Mumbai 6. Paper Coordinator Dr. Satish Kumar Bhati, Professor & Head, Department of Adult and Continuing Education and Extension, Jamia Millia Islamia, New Delhi 7. Content writer Dr. Shikha Kapur, Associate Professor, Department of Adult and Continuing Education & Extension, Jamia Millia Islamia, New Delhi 8. Content Reviewer Dr. Satish Kumar Bhati, Professor & Head, Department of Adult and Continuing Education and Extension, Jamia Millia Islamia, New Delhi Course outline 1) Introduction 2) Objectives 3) I. Lewin s Three-Step Change Theory 4) II. Lippitt, Watson and Westley Seven-step Theory 5) III. Stages of Change Model/ Transtheoretical Model (TTM) by Prochaska and DiClemente 6) Stages of Change 7) Conclusion Introduction Change is vital to progress. The world is changing at a fast pace. Man has to actively engage and adapt with environmental, physical, spiritual and socialchange. Planned change takes place to help thedynamic systems of the society viz. the Individual, Group, Organization and Community to Solve problems Learn from past and existing experiences Adapt to the environment and changes Reframe shared perceptions 1

2 Improve performance And influence future changes To attain long-term sustainability, changes andimprovements have to be made continuously. Planned change is a purposeful, calculated and collaborative effort to bring about improvements in the dynamic systems with the assistance of a change agent (Roussel, 2006). Transforming plans into action is a complex process. The process of change fails because change agents often take an unstructured approach to implementation of change process (Wright 1998). There are many change theories. It is important, therefore, that managers, or change agents, identify an appropriate change theory or model to provide a framework for implementing, managing and evaluating change (Pearson et al, 2005). These theories provide frameworks that describe what activities have to be performedin order to start and carry our change in the dynamic systems. The theories of change purport and reiterate that change is indeed real. There are various theories of planned change each conforming to a particular school of thought. The theories examine change and look at how change occurs.in this module one by one we will examine three important theories of Planned Change. 1. Lewin s Three-Step Change Theory 2. Lippitt s Phases of Change Theory 3. Prochaska and DiClemente s Change Theory Objectives: 1. To introduce to the students various theories of planned change 2. To enable students to understand Lewin s Three-Step Change Theory 3. To help the students understand Lippitt s Phases of Change Theory 4. To develop an understanding amongst students about Prochaska and DiClemente s Change Theory I. Lewin s Three-Step Change Theory Kurt Lewin was an eminent Gestalt Psychologist who developed the influential Field Theory.Lewin's field theory emphasized that behaviour is the result of the individual and his interaction with his entire field or the environment. According to Lewin, for change to take place, the total situation has to be taken into account. If only part of the situation is considered, a misrepresented picture is likely to develop that will hinder the change process. In 1951 Kurt Lewin introduced the three-step change model named the Lewin sthree-step Change Theory.This provides a general framework for understanding change in the dynamic systems. Lewin discussed forces that can affect change. He views 2

3 behaviour as a dynamic balance of forces- the driving forces and the restraining forces that work in opposing directions. Driving forces facilitate change because they push system in the desired direction, pushing it forward for change. Restraining forces hinder change because they push it in the opposite direction. In fact the restraining forces maintain status-quo of the system. Hence it is essential to analyse both the forces. Lewin s three-step model helps shift the balance in the direction of the planned change. This involves increasing forces pushing for change while decreasing forces maintaining the current state that resist change and hence produce less tension.lewin identified three stages through which change agents traverse before change becomes part of that system. The three stages show that change involves a movement or change from one static state to another static state via a progressional shift. This is also known as Unfreeze-Change-Refreeze Theory of Change. Unfreezing (when change is needed). Moving (when change is initiated). Refreezing (when equilibrium is established). Stage 1- Unfreezing: According to Lewinthe first step of process of planned change is Unfreezing.This stage involves creating the right conditions for change to occur. The purpose of this stage is to unfreeze the status quo or the state of equilibrium. Unfreezing requires the systems to come out of the existing situation, overcome the strains of group conformityandindividual resistance. People may resist change by attaching a sense of identity to their environment. In this state even the beneficial alternativesinitially cause discomfort. The challenge is to simply move people from this frozen state to a change ready or unfrozen state. Unfreezing can be achieved by the use of three methods. The first is to increase the driving forces that direct behaviour away from the status quo or the existing situation. Second requires decrease of restraining forces that negatively affect and prevent movement from the existing equilibrium negatively. Third method involves finding a combination of both the two methods listed above. Identify some activities that can assist in unfreezing and also motivate participants by preparing them for change. This also includes building trust with the client, recognition for the need to change, active participation in recognizing problems and brainstorming solutions within a group. 3

4 Stage 2- Movement: Lewin s second step in the process of changing behaviour is movement.it is a transitional journey and typically a period of confusion. People are in a state of confusion since their old set ways are challenged but they have no clear understanding of the new ways that will replace the old ones. It is necessary in this step, to move the target system to a new level of equilibrium. The end goal of this stage is to get people to the unfrozen state and keep them there.three actions that assist in the movement include: a. persuading individual or community or the organization to agree that the status quo is not beneficial to them and encouraging them to view the problem from a fresh perspective, b. work together and gather new, relevant information, and connect the views of the group to well-respected, powerful leaders that also support the change. c. and finally planning and implementing the action for change. Stage 3- Refreezing: The third step inlewin s three-step change model is refreezing. The end goal of this stage is to reach the stage of refreeze. This means that the change that has been implemented becomes sustained or sticks over time. If this step is not taken then it is highly likely that the change will be short lived and the system will revert back to its old behaviours or equilibrium. At this stage new set of values acquired are actually integrated with the existing values and traditions of the system.this requires reestablishing stability and elevating the comfort levels of the systems by reconnecting them back to their safe and familiar environment. In this last and final stage in Lewin s theory is to reinforce new set of values and patterns of behaviour by institutionalizing them through both formal and informal mechanisms including formulation of relevant policies and procedures. Refreezing takes the dynamic system from a period of low productivity in the movement or the transitional state to that of individual/organisational effectiveness and sustainable performance. Refreezing exhibits the effects of forces that either promote change (driving force) or inhibit it (restraining force). Specifically, driving forces promote change while restraining forces oppose change. It can be concluded that change occurs when the strength set offorces(driving forces) is greater than the strength of the opposing forces (restraining forces). II. Lippitt, Watson and Westley Seven-step Theory Lippitt, Watson, and Westley (1958) extended Lewin sthree-step Change Theory and proposed a seven-step theory of change. This theory rather than putting forth the 4

5 evolution of the changefocuses on the roles and responsibilities of the change agent in the process of change. Change agent is very important in this theory. The stages in Lippitt, Watson and Westley s Seven-step Theoryare: 1. development of a need for change, 2. establishment of a change relationship, 3. working toward change, 4. the clarification or diagnosis of client systems problem, 5. the examination of alternative routes and goals/establishing goals and intentions of action, 6. transformation of intentions into actual change efforts, and 7. the generalization and stabilization of change and achieving a terminal relationship. 1. Development of a need for change This stage according to Lippitt et al. (1958) aligns with what Lewin s unfreezing stage. Lippitt et al. describes three ways in which this first phase might occur. First the change agent notices that an intervention or change would benefit the system and opens a dialogue to make others aware of the situationand offers assistance. Second, a third party that is related to the change agent and the potential group affected by the change brings the two parties together. Third, a person or group in need of assistance sees the need for change and seeks help for change from an outside source. Lippitt et al. (1958) defined a change agent as an individual who is aware of the forces that influence the process of changeand offers their skill setto any type of system who seeks help. They refer to the forces that resist change or favour change respectively as, resistance forces and change forces. 2. Theestablishment of a change relationship In the second phase the change agent gains the trust of the group. How the group perceives the change agent and the potential change is an important aspect at this stage according to Lippitt et al. (1958). 3. Working toward change Lippitt et al s (1958) working toward change coincides with Lewin s second stage that is labelled as moving. It actually encompasses stages three, four and five. The third 5

6 stage encompasses information regarding the situation dynamic systems- individual, group or organization and how they would be benefited by change. 4. Clarification or diagnosis of client systems problem One of the most important tasks in the change process is diagnosis of the problem when many interlinked, intricate facts may emerge. The client system has to collaborate in the diagnosis of problem. They have to be available alongside the change agent for observations, testing, interviews or questioning as the case may be, depending on the tools being used for the diagnosis of the problem. Simultaneously the vested group in the community may start to put pressure because of the threat that they perceive due to the process of change. This group may hence try to sabotage or smash the process of change. This can affect the change process and the client system may even turn hostile towards change agent. 5. Examination of alternative routes and goals/establishing goals and intentions of action During this stage the diagnosed problem is translated into ideas about change. Lippitt et al. (1958) caution that as the change agents begins formulating actual intentions and specified actions problems related to motivation may arise in the process. These motivation problems occur due to anxiety about the change or fear of failure. Such anxieties can however be overcome to some extent by use of trial procedure involving the change. This may help to alleviate all anxieties and foster the adoption of the idea. Unfortunately, most of the time, many change relationships are broken off before this phase is reached and client system is left to cope alone with the diagnosis & recommendations which have to be otherwise presented by the change agent. 6. The transformation of intentions into actual change efforts During this phase, the change agent works to ensure that the intended goals are transformed into actual change efforts. In this stage the change agent also ensures that the dynamic system should feel fully supported and encouraged. Success at this stage means that the plans and intentions are transformed into actual achievements. The problems at this stage may be securing acceptance for change process by the various subparts of the system. Many times the relationship between change agent and client system may have indeed ended. In such a situation either the client system imagines what a change agent may have done at this juncture or re-elicits support from the change agent for continued action. In cases where relationship continues between the change agent and the client system they may need to change their modus operandi, 6

7 or way of functioning in a manner that there may be no direct contact of the system with the change agent. Another problem may be is obtaining adequate feedback on the effect, outcome or consequences of change effort. Sometimes, when client system receives no clear information about the change effort, it interprets this as a sign of failure and hence abandons the change effort, even though it may be producing the desired effect. 7. The generalization and stabilization of change and achieving a terminal relationship In the seventh or the final stage as the change becomes integral part of the dynamic systemthe change agent is removed from the relationship. Many times effort tends to disappear after the change process ceases and the system reverts back to old ways of working. According to Lippitt, Watson, and Westley one critical factor in the stabilization of change is the spread of change to the neighbouring systems, or to the subparts or supports of the client system. One important aspect about the process of change is the stability &permanency of process of change.many systems are such that they tend to perpetuate a change once it has attained certain state of equilibrium. This is the process of institutionalization where the change process supersedes the restraining forces and the retrogressive tendencies. Terminal relationship does not connote termination of relationship. According to Lippitt et al. (1958) the termination of the change agent s involvement in the change process can be as early as the third phase of the change process. The goal of this stage is that the client system becomes completely independent of the change agent or continues to be in consultation with the change agent even after the change relationship has ended. III. Stages of Change Model/ Transtheoretical Model (TTM) by Prochaska and DiClemente Prochaska &DiClemente (1983) gave the "stages of change" model which is one of the components of "Transtheoretical model of behaviour change". The TTM is a model of intentional change that focuses on the individual s decision making process. It describes how people modify problembehaviour or acquire a positive behaviour. Since it integrates key constructs from other theories it is called the "transtheoretical model". This "Stages of Change" model was identified and developed during a study of smoking cessation by Prochaska &DiClemente. Thereafter this model has been applied to studiesfocussing on bio-psycho-social problems, including domestic violence, HIV prevention, alcohol, drug and child abuse, weight control (Prochaska & Prochaska, 2009) and has been used for developing effective interventions for health behaviour change.this model has been widely applied in behaviour modification techniques.in order to move through the 7

8 change process everyone has to accomplish the same stage-specific tasks although the amount of time an individual spends in a specific stage varies from one to another. Stages of Change According to Prochaska &DiClemente (1983) there are five stages of change. These stages are: 1. Precontemplation 2. Contemplation 3. Preparation 4. Action, And 5. Maintenance 1. Precontemplation (Not ready to change) People in precontemplation do not see their behaviours as a problem and therefore see no need to change. This is sometimes called the "ignorance is bliss" stage.research shows that between 50 60% of clients are in the stage of Precontemplation and they don t see their behaviours as a problem and are "resistant to change". Norcross and Prochaska (2002) distinguish between "uninformed" and "underinformed groups of people. Those who have never seen their behaviours as problems are considered "uninformed" and the group of people who have seen their behaviours as problematic in the past but are not currently interested in changing are called "underinformed."techniques for change include: Validate lack of readiness Encourage re-evaluation of current behaviour Encourage self-exploration, not action Explain and personalize the risk 2. Contemplation (Thinking of changing) Change is tough. It is hard to take that first step. The second stage is called contemplation and people recognize a problem and are contemplating a change, but haven't yet committed to changing. People in contemplation are sitting on the fence part of them wants to change, but an equally compelling part of them wants to stay the same. For example, someone contemplating dieting to lose weight and have not yet started dieting. This is the stage when people are sitting on the fence and ambivalent about change. Techniques for change include: Encourage client to evaluate pros and cons of behaviour change Re-evaluation of group image through group activities Identify and promote new, positive outcome expectations 8

9 3. Preparation (Ready to change) The third stage is called preparation. In this stage, people have decided to change their dysfunctional behaviours within a month. They take little steps towards changing their behaviour or are "testing the waters." These little steps might have worked, or they might have failed, but they have not resulted in the kind of behaviour change that is warranted. For example, someone contemplating dieting to lose weight has said no to desert for the last few months but hasn't lost any weight, due to lack of comprehensive plan. Techniques for change include: Help and encouragement to evaluate pros and cons of behaviour change. Identify and promote new, positive outcome expectations of behaviour change. Encourage small initial steps towards behaviour change. 4. Action (Making change) The action initiated towards desired behavioural change including modification of environment, experiences, or behaviour. The client at this stage makes specific overt modifications in their life-styles. It is very important at this stage to take measures against relapse. Techniques for change include: Help client restructure cues and social support. Enhance self-efficacy for dealing with obstacles. Help guard against feelings of loss and frustration. 5. Maintenance (Staying on track) The focus of this stage is active work to maintain changes made and prevent relapse. In this stage client has been engaged in the new behaviour for at least six months and is committed to maintain the new behaviour. They are more confident that they can continue their change. Techniques for change include: Providing follow-up support Reinforcing internal rewards Discussing coping with relapse 6. Relapse (Fall from grace) This is an unofficial sixth stage referred to as "relapse," "recycling," or "slipping" in which the system reverts back to old behaviours. Examples resuming drinking or smoking after a period of sobriety, or non-smoking phase a year after quitting. Slipping is so common that it is considered normal. 9

10 Techniques for change include: Evaluatingthe triggers for relapse Reassessing motivation and barriers Planning stronger coping strategies Conclusion There are various theories of planned change each conforming to a particular school of thought. It is important to understand the theories and models of planned change. They reveal why change occurs (driving forces), how it occurs (process, timing, stages), what resists change (resisting forces) and what is the (final) outcome. Before a change agent sets on the path of change an appropriate change theory or model has to identified for implementing, managing and evaluating change. The theories provide frameworks that describe what activities have to be performed in order to start and carry our change in the dynamic systems. Ultimate success of planned change is contingent on the theory selected. 10

The Stages of Change Stage One: Precontemplation Stage Two: Contemplation

The Stages of Change Stage One: Precontemplation Stage Two: Contemplation The Stages of Change The stages of change are: Precontemplation (Not yet acknowledging that there is a problem behavior that needs to be changed) Contemplation (Acknowledging that there is a problem but