Kurt Lewin’s change model: A critical review of the role of leadership and employee involvement in organizational change

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Journal of Innovation

& Knowledge

https://www.journals.elsevier.com/journal-of-innovation-and-knowledge

Conceptual paper

Kurt Lewin’s change model: A critical review of the role of leadership and employee involvement in organizational change

Syed Talib Hussain

^∗

, Shen Lei, Tayyaba Akram, Muhammad Jamal Haider, Syed Hadi Hussain, Muhammad Ali

GloriousSunSchoolofBusinessandManagement,DonghuaUniversity,Shanghai,China

a r t i c l e i n f o

Articlehistory:

Received22June2016 Accepted14July2016

Availableonline11October2016

Keywords:

Organizationalchange Unfreezing

Changeprocess Refreezing

Employeeinvolvement Knowledgesharing Leadershipstyle Changeimplementation

a b s t r a c t

Changeiscrucialfororganizationsingrowing,highlycompetitivebusinessenvironments.Theoriesof changedescribetheeffectivenesswithwhichorganizationsareabletomodifytheirstrategies,processes, andstructures.Theactionresearchmodel,thepositivemodel,andLewin’schangemodelindicatethe stagesoforganizationalchange.ThisstudyexaminedthethreestagesofLewin’smodel:unfreezing, movement,andrefreezing.Althoughthismodelestablishesgeneralsteps,additionalinformationmust beconsideredtoadaptthesestepstospeciﬁcsituations.Thisarticlepresentsacriticalreviewofchange theoriesfordifferentstagesoforganizationalchange.Inthiscriticalreview,changemanagementoffersa constructiveframeworkformanagingorganizationalchangethroughoutdifferentstagesoftheprocess.

Thisreviewhastheoreticalandpracticalimplications,whicharediscussedinthisarticle.Immunityto changeisalsodiscussed.

Introductionandresearchquestions

Thepurposeofthestudyistocrafttherelationbetweenprocess modelandchange,thisrelationdescribesthewaysofimplement- ingchangeprocessbyleader’sknowledgesharing,andthissharing identifies thestages of changeprocess, and thesestages delin- eatethefunctionalsignificancebetweenorganizationalchangeand changeimplementation. Theorganizational lifehas beenmade inevitablefeaturebyglobal,technologicalandeconomicpace,and many modelsof organizational change have acknowledgedthe influenceofimplicitdimensionsatonestageormorestagesoforga- nizationalchangeprocess(Burke,2008;Wilkins&Dyer,1988),and thesemodelsimitatedifferentgranularlevelsaffectingthepro- cessoforganizational change,and each levelofthem identifies distinctivechangeimplementationstages(By,2005).Amodelof organizationalchangeinKurtLewin’sthreestepschangeprocess contextwasintroducedinthisstudy;whichreflectsmomentous stagesinchangeimplementationprocess.KurtLewin’smodelis theearlyfundamentalplannedchangemodelsexplainingthestriv- ing forces to maintainthe status quo and pushing for change (Lewin,1947).Tochangethe“quasi-stationaryequilibrium”stage,

∗ Correspondingauthor.

E-mailaddress:talib[email protected](S.T.Hussain).

onemayincreasethestrivingforcesforchange,ordecreasethe forcesmaintainingthestatusquo,orthecombinationofbothforces forproactiveandreactiveorganizationalchangethroughknowl- edgesharingofindividualwillingnesswiththehelpofstimulating changeleadershipstyle.

The Lewin’s model was used from an ethnographic study assumed for the investigationof theLewin’s model for change development,mediatesimplementationandleadershipinitiatives forchangeincomplexorganizations.Thefocusofthisresearchon (i)howLewin’schangemodelgranulateschange,(ii)howknowl- edgesharingaffectsthechangeimplementationprocess,(iii)how employeesinvolveinchangeandwillingnesstochange,and(iv) howleadershipstyleaffectstheorganizationalchangeprocessin organization.

Modeloforganizationalchange Processmodel

Theorganizationalchangeexplainsthemovementofanorga- nization fromthe known(current state) state tothe unknown (Desiredfuturestate)state.Thisisbecausethefutureofthischange is uncertainand mayconcernthe people’sworth, copingabili- ties, and competency,sothepeopleof theorganizationdo not supportchangeunlesstheyareconvincedagainstthestatusquo

https://doi.org/10.1016/j.jik.2016.07.002

creativecommons.org/licenses/by-nc-nd/4.0/).

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(Cummings&Worley,2003).Theorganizationmayhaveinvested heavilyforstatusquo;subsequentlyresistingchangewilltakeplace toavoiduncertainfutureoforganization.Consequently,thenec- essaryactions are tobe takento motivate employees.For this purpose,thestudyexplorestheloopoforganizationalchangepro- cessthroughaseriesofevents,whichfocusesonfundamentalsteps takenforimplementationofchange.Themodelhasbeencatego- rizedintoloopsofleadership,managementandorganization.This processisbeinginitiatedthroughLewin’s(1947)threestepschange modeldenotingthestepbystepphasesofunfreezing,changing andrefreezing,soemployeesarebeinginvolved andinstructed byleadersregardingtheissuesrelatedtochangeprocess(Porras

&Robertson,1992).Thissubsequenceprocessof changeelabo- ratesthevarying outlinesequenceupon theessential stages of change(Bate,Khan,&Pye,2000).ThereprisalintheprocessBurke (2008)andWhelan-Berry,Gordon,andHinings(2003)underlined theimportanceofleadershipbeforelaunchingeachphaseateach stageofchange.The leader’sethicalitymaybeoneofthemost importantsourcesforchangefromemployeesasDurandandCalori (2006)statedtheethicsofleadershipinchangeprocess.Yet,this studydoesnotexamineexplicitlytheroleofleadershipethicsor importanceinspontaneousundergoingchangeprocess(Armenakis

&Harris,2009).

In this study the organizational change will be referred as plannedchange.Incontextofprocessmodelofchange,theculture hasbeenrecognizedbytheoristsasmoderatorfororganizational change.AsBurke(2008)identiﬁedtheBurke-Litwinmodelfrom differentprocesstheoristsforthecultureoforganizationalchange.

OrganizationalchangeandLewin’smodel“unfreezing”

ChangemanagementdeﬁnedbyMoranandBrightman(2001) as‘theprocessofcontinuallyrenewinganorganization’sdirection, structure,andcapabilitiestoservetheeverchangingneedsofexter- nalandinternalcustomers’.Changingdoesnotdependonsizeand agebutoccursthoroughlyin allbusinesses.Theworld changes veryfast,sotheorganizationsmusthavetobechangedquickly forthedevelopmentandsurvivingoftheorganization(Alvesson

&Sveningsson,2008).The Modelsand theorieshavebeenpro- posedfordrivingchangesinorganizationformanagersandleaders tomonitor,evaluateandplanchangesusingstructurefor quick responsetotheinternalorexternalenvironmentandforeseethe patternofchangebyindividuals,products,technologyandmarket (VanOssten,2006).AsstatedbyGlieck(1987)thatorganizational changeisakindofchaos,sonumberofvariablesarechanging,the environmentchanging,frequentchangeandresistanttochange createconfluenceofchangeprocessatthesametime,thatnotonly stimulatesdifficultiesinpredictionbutalsomakecontrolimpossi- ble.However,therepeatedlyresearchliterature,consistentlylink differentclassesofeventsinorganizationsforchange.Anewmodel hastobebuilttodescribe thecausesof organizationalchange, exploringhow doesorganizationfunctions(i.e.,a leadsb), and causationofmodelchangedeliberately.Theinternalandexternal environmentpersuadesorganizationsforchange.Pierce,Gardner, andDunham(2002)statedtwokindofchangeinorganization,reac- tiveandproactivechange.Thereactivechangetakesplacewhen internalorexternalforcespressurizetheorganizationforchange whileproactivechangetakesplacewhentheorganizationitself concludesaboutchangetobedesirableandPetersandWaterman (1982)developedculturalexcellencemodelforchange;Pettigrew (1973)developedprocessualapproachasholisticviewfororgani- zationandenvironment,whichemphasizethatchangeisheavily influencebypower,cultureandpolitics.Manytheorieshavebeen proposeforchangeprocessbuthereinthisstudytheLewin’sthree stepsmodelforchangehavetobeusedforchangeprocess.Asthe organizationisinstageofchange,theKurtLewin’stheoryhasbeen

appliedforchangeprocess.AccordingtothestudyofLewin,that successfulorganizationalchangemaybeplannedandthisrequires thesystemtobeunfreezed.Asexplainedinliteraturereview,there aredifferentreasonsforchangeoforganizationandthiswilldivert fromitscurrentpositionor statusquotoa newdirection.This stagewillincreasethegroupbehaviorsforchangeortoincrease theleader’s pressureforchangeathigherlevel, andLewinsug- geststhattheforcesinvolvingforstatusquowillcreateminimum resistanceandtensionthantheforcesapplyingforchangeandthis strategywillbemoreeffectivestrategyforchange.

EmployeeinvolvementinchangeandLewin’smodel“change process”

Employeeinvolvement(EI)hasbeendeﬁnedbyGlew,Leary- Kelly,Grifﬁn,andVanFleet(1995)as“Employeeinvolvementseeks toincreasemembers’inputintodecisionsthataffectorganization performanceandemployeewellbeing”.Thiscanbeexplainedin four(power,information,knowledgeandskill,andrewards)ele- mentswhichpromotetheworkeroremployeeinvolvement.For overcomingtheresistanceinorganizationalchange,theemployee involvementisthemostoldestandeffectivestrategyinformulat- ingtheplanningandimplementingchange.Theparticipationwill leadhighqualitychangeandprevailovertheresistanceinimple- mentingstage(Vroom&Yetton,1973).Bydoingthisavarietyof informationandideasmaybegenerated,which maycontribute theinnovationseffectiveandsuitableinthesituation,raiselike- lihood,createmembercommitmentinimplementingchange,and employeemotivatingandleadingchangeeffortinwork(Cummings

&Molloy,1977).Aftergettingoutofthestatusquo,theleaders are required to support employee’s involvement for accelerat- ingthechangeinorganization.ThestudyofPierceetal.(2002) statesthat;tostimulateprocess,theemployeesmusthavetobe addressedaboutchange.Theleadersshouldeducate,communi- cate,participate,involve,tasksupport,provideemotionalsupport andincentives,manipulate,co-optateandcoercetheemployees aboutchange.

The study of Morgan and Zeffane (2003) states that during changeprocesstheleader’stransparency,reafﬁrmsandenhance thetrustofemployee’sinvolvementinorganizationalchangepro- cessregardingthediscussionandmeetingswheneverdiscussedin organization,thisallowsemployeesfortheiropinionsandachieve bettersenseofcontrol(Morgan&Zeffane,2003).Theleadershav- ingencouragingbehaviorwillprovidethesupportorsuggestions intheprocessofchangewillreapadvantagesoftaskcommitment andeffectiveness(Higgins,Judge,&Ferris,2003).Theactiveroleof employeesinorganizationalchangetendsemployeestowardpos- itivefeelings(Furst&Cable,2008).Thiswillenhancetheemployee acceptanceforchangeprocess(Oreg,2006)andalsoselectchanges duringchangeprocessforencouragingtheorganizationalsupport (Armenakis&Harris,2009).ThischangeprocessofLewinsecond stepwillshiftthebehaviororattitudeofdepartment,organization, orindividualtothenextnewlevel.

Theemployee’sinvolvementwillbemoreeffectiveifemployees areempoweredinauthorityandresponsibility(Mathieu,Gilson,&

Rubby,2006).HereineverystepofLewin,theroleofleadership involvesaschangeagentforbehavioralintegrationintasksand socialdimensions.ThestudyofSrivastava,Bartol,andLocke(2006) statesthat,knowledgesharingmeansinteamissharinginforma- tion,taskrelevantideasandsuggestionsbetweendifferentlevels ofmanagement.

KnowledgesharingandLewin’smodel“changeprocess”

Theemployeesmakesharingofknowledgeabouttaskassign- ments, customer service, performance outcomes and decisions

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making, information ﬂow from multilevel, making business plans,competitiveconditions,newtechnologyequipments,work methods,ideas fororganizational improvement, share skilland expertise,sharedevelopmentprograms,contributeinsolvingprob- lems and business operation (Cummings &Worley, 2003).The studyofWenger,McDermott,andSnyder(2002)states,thatknowl- edge sharing is crucial among individuals of an organization.

Knowledgesharinginorganizationalresourcesiscriticalforcom- petition,sustainability anddynamic economy (Hakanson,1993;

Foss&Pedersen,2002).Sotheorganizationsdonotrelyontrain- ing,stafﬁngandmanagingsystemonlybutalsotheknowledgeable individuals share beliefs, experiences, skills, competencies and abilities (Ambrosini &Bowman,2001; Brown& Duguid,1991).

Onethingshouldbenotedthat howtotransfertheknowledge andexpertisefromtheknowledgeableexpertstonoviceswhoare inneedtoknow(Hind,Patterson,&Pfeffer,2001).Bordia,Irmer, andAbusah(2006)concludedthatknowledgesharingatindividual levelwasstudiedinorganizationbehavior,psychology(Lin,2007), information systems (Wasko &Faraj, 2005) and strategic management(Reagans&McEvily,2003).Knowledgesharingisdone inindividual,groupandorganizationalleveloftheorganization, startingatindividuallevel;simultaneouslyexpandtogrouplevel andendsattheorganizationallevel(Bock&Kim,2002)andthisis explainedbyUriarte(2008)astheframeworkofknowledgesharing consistingofthreelevelsasenablers,leversandfoundation.

Inthechangeprocesswhenemployeescontribute,theknowl- edgesharingstageidentifiesthekindofknowledgethatgenerates thevalueoforganizationafterthatgeneratingthemechanismfor that knowledge.Therequired knowledge isidentified for organizational need which is getting from two sources of external asrentingorconsultancyfromothercompaniesorshareknowl- edgebyinternalsourceininformalnetworksamongemployees whohaveexpertise(Wenger,1999).Sharingknowledgeisactu- allytheorganizationallearningprocess,whichconcludes,whatthe membersoremployeesknowabouttheorganizationalproducts, processes,customers,andcompetitiveenvironmentsoforganiza- tion.Thisknowledgemaybetheexplicitknowledge whichcan beeasilytransferredindocuments,databasesand manualsand thetacitknowledgeisthemember’sinternalskills,intuitionsand memories(Polanyi,1995).InthechangeprocessofLewin’sthree stepmodel,theknowledgeiscodifiedandpersonalized.Incodi- ficationphasetheknowledgeisstoredwhichwouldbeusedby appropriatemembersbutinpersonalizationphasetheknowledge isbeingfocusedthathowtotransferitfrompersontoperson.The codificationofknowledgeiscalledexplicitknowledgewhichcanbe easilytransferredandpersonalizationiscalledthetacitknowledge whichisnoteasilytransferable.Thegivenbelowmodelexplains thewholecycleorprocessoforganizationalchangebyapplying theKurtLewin’sthreestepsmodel(Fig.1).

LeadershipandLewin’smodel“changeprocess”

LeadershiphasbeendefinedbyNorthouse(2004)as“aprocess bywhichanindividualinfluencesagroupofindividualstoachieve commongoals”.ThestudyofCummingsandWorley(2003)has presentedfiveactivitiesofkeyleadershipinchangeprocess.The activitiesareofmotivatingchange,creatingavision,developing politicalsupport,managingthetransitionandsustainingmomen- tum.The motivatingchangeand creating a vision showtothe unfreezingorcurrentstateoforganizationisbeingconsideredfor change,developingpoliticalsupportandmanagingthetransition showthemovingstageofchangeandsustainingmomentumshows theimplementationandrefreezingstateofthechange.Inchange processtwofactorsplayimportantrole,theemployee’sresistance (Stanley,Meyer,&Topolnytsky,2005)andtheopennesstochange (Wanberg&Banas,2000).Resistancetochangeprobablyeffectsthe

changeprocesswhichwillleadtothenegativeoutcomes(Bordia, Hunt,Paulsen,Tourish,&DiFonzo,2004)whiletheopennessof changeofemployeeshavetobefocusedduringchangeprocess.

Theleadershipinchangecontextcanbedeﬁnedas“theprocess ofdiagnosingwheretheworkgroupisnow,andwhereitneeds tobeinthefuture,andformulatingastrategyforgettingthere.

Leadershipalsoinvolvesimplementingchangethroughdevelop- ingabaseofinﬂuencewithfollowers,motivatingthemtocommit toandworkhardinpursuitofchangegoals,andworkingwiththem toovercomeobstacletochange”(Laura&Stephen,2002).

Leadership type is vital in change process of organizational change.Transactionalleadersareinvolvedinrewardsandpunish- mentswithworkerstoencouragetheperformanceoforganization (Bass,1985)andtransformationalleadersarecharismatic,inspira- tional,intellectualandindividualizedconsideration(Bass,1985).

Thiskindofleadershipidentifiesthestakeholdersforchangepro- cess.Thestakeholders(departmentalmanagers,staffgroups,and toplevelexecutives)cansupportchangeandmakebroadbased supporttomaximizetheriskofsuccessandminimizetheriskof resistanceinchangeprocessbyasking“whostandstogainortolose fromthechange?”andthiswillbuildarelationshipforcreating theusefulinfluence(Cummings&Worley,2003).Thestakehold- ersusethreemethodsformotivationinchangeprocess,playingit straight,goingaroundtheformalsystemandusingsocialnetworks (Greiner &Schein,1988).The “playingit straight”explains the needofchangesbygivinginformationandhowthesechangescan makebenefittheparticularstakeholders.Thesecondpart“social network”formsalliancesandcoalitionswithkeydecisionmak- ers,powerfulindividuals, groups,andwithinformalandformal contactsforgaininginformation.Thethirdpart“goingaroundthe formalsystem”isprobablyleastusedmethodinvolvingcircum- ventingorganizationalproceduresandstructures.

Implementationphaseand“refreezing”ofLewin’smodel

TheKurtLewin’smodel(unfreezing,changingandrefreezing) iswidelyacceptedin psychologyfor implementingchange.The implementationofchangeinvolvesthecurrentstateoforganiza- tionhavetobechangedintoadesiredstate,butthiswillnotoccur quicklybutsimultaneously.BeckhardandHarris(1987)identified three activitiesfor implementingthechange; activityplanning, commitmentplanningand changemanagement structures.The activity planningmakes a road map or path for organizational change,eventsandspecificactivitiesmustbeoccurredforsuc- cessfulchange.Thespecificactivitiesinvolvetheintegratedchange tasks, temporal orient and explicitly tie the tasks according to theorganization’schangeprioritiesandgoals. Thecommitment planningidentifiesthepersonsandgroupswhosecommitmentis requiredorneededfororganizationalchangeforthepurposetofor- mulateandgaintheirsupport.Thepeopleorgroupsare,political support,thestakeholder’splansandtheircommitmentforchange inprocessof change.Thechangemanagementstructure identi- fiestheambiguous,direction,andstructureformanagingchange process.Whichincludesresourcestopromotechange,thecurrent leadershipstructure,changeconsultants,interpersonalandpoliti- calskillstoinitiatethechangeprocess(Beckhard&Harris,1987).

ThestudyofKanter(1983)describesthethreestagesasinformation (expertise,technicalknowledge,andpoliticalsupport);resources (personnel,materialsandfunds),andsupport(legalissues,backing ofsupport,andendorsement).

Conclusion

Manytheorieshave beengiven bydifferentresearchers,like action research model (French, 1969); the positive model by

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Change Process Unfreezing

Change process Refreezing

Organizational change

Implementation of change Leadership

Employee Involvement in

change Knowledge sharing

Organizational change process showing different stages

Change process

Fig.1.ModeloforganizationalchangeshowstheKurtLewin’sthreestepsmodel:Note:ThearrowsshowdifferentstagesofKurtLewin’sthreestepsmodelandnotthe relationshipbetweenvariables.

Cameron,Dutton,and Quinn (2003)and Lewin’s changemodel (Lewin,1947).TheLewin’schangemodelwasusedinthisstudy fororganizationalchangeprocess.AsBurnes(2004)identiﬁedthe organizationalchangeasafeatureoforganizationallifeforstrate- gicandoperationallevel,sothereisnodoubtabouttheimportance ofchangeinorganization,andittobeexecutedbecause,organiza- tionneedschange.ThestudyofPodsakoff,Mackenzie,andBommer (1996)explorestheactiveroleofleadershipstyleinorganizational outcomes,employeesatisfaction,andperformance.Ineverystep ofthestudy;theleadershipplaysaroleofachangeagentinthe KurtLewin’smodeltounfreezetheorganization.Thetransforma- tionalleadershipstyleaffectstheorganizationalchangeprocess.In thistypeofleadershipstyle,theleadercoordinatewithemploy- ees,sharetheirknowledge,giveopportunityinmakingdecisions inorganizationallevel.

Theoreticalimplications

The ﬁndings of this study show that leadership style and employeeinvolvementinchangeisencouragingstepforchange processoforganization.However,theeffectofKurtLewin’smodel isindirectthroughseparatephasesintheprocess.Thetransfor- mationalleadershipstylehasbeenstudiesasthemostimportant factorforchangeprocessin priorstudies(Gong,Huang,&Farh, 2009).Thispaperassociatespositiveimpactofleadershipstyleon changeprocess.Thisstudyillustratestheeffectofleadershipstyle intermsofemployeeinvolvementinchange,motivatingemployee forchange,sharetheknowledgeatindividualandorganizational leveltomaketheloopofthechangeprocess.Ateachphaseofthe processmodel,theleadersandemployeesareconsideredtobeone unit,andeachphasewillbeshiftedtothenextstepoftheKurt model.

Managerialimplications

Different organizations use different organizational change modelforstayincompetitioninthemarket.Likepositivemodel, action research model, Lewin’s model, Kanter, Stein, and Jick (1992),Kotter’smodel(1996)andLueckemodel(2003)fororgani- zationalchange.Allofthesestudiesshowedthatleadershipisthe keyfactorforchangeprocess.Thestudyindicatesthedominant roleofleadership,employeeinvolvementandsharingknowledge inchangeprocessofLewin’smodel.Thestudyrecommendsfor organizationtoelevate theawareness ofchangeand phasesfor organization.Asweseetheknowledgesharingis animportant

catalyst forunfreezingstage and moving stagefor theprocess.

Onthesametime employeeinvolvementis themain factorfor shiftingoforganizationfromonephase toanother,soallthese factorareinterrelatedforthecurrentchangeprocess.

Socialimplications

Thisstudyhassignificantsocialimplications.Thekeyfactors thatcanencouragechangeinorganizationwithswapofrewards andrecognitionsbringsignificantsocialimplicationsforenhancing theorganizationalchangeprocess.Thisstudyhasexamined(1)the dominantroleofleadershipandemployeeinvolvementinchange processnecessaryforbringingeffectivechangeinmanagement,(2) thestudyexploredasignificantconnectionofknowledgesharing inchangeprocesswithemployeesandleadersinimplementingthe changeprocess,(3)themanagementshouldfocusontheleadership styleinchangeprocess,andfinally(4)thereviewshowsaframe- workoflinksamongleadershiptoemployeesinvolvement,sharing knowledgeandprovidesaninsighttopractitionersthathowleader behaviorrelatestoinvolvementandsharingknowledgeinLewin’s changemodelcontext.

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