Inhaltsverzeichnis

Why Change Management? 3

To Change Behavior – Direct the Rider 5

Case for Change Template 6

Compelling Vision Interview Template 7

Working with Your Sponsor Overview 8

Sponsor Expectation Tool 9

Stakeholder Analysis and Engagement Plan Overview 10

Change Readiness Assessment 15

Behavioral Change Plan 16

Team Communication Overview 17

Team Communication Plan 18

Transition Model (Bridges) 20

Change Process Model (Kubler-Ross) 21

Change Process Model – Indicators & Strategies 22

Core Values Exercise 24

Best Practices for Leading Change – What to Do 25

Best Practices for Leading Change – What NOT to Do 26

To Change Behavior – Shape the Path 28

Implementation Strategies 29

Risk Assessment Template 30

Success Metrics Overview 32

Success Metrics Template 33

Feedback Strategy Overview 34

Feedback Strategy Options 35

Change Communications Plan Overview 36

Change Communications Plan Template 37

Change Communication Brief Template 43

To Sustain the Change – Keep the Momentum Going 45

Change Readiness Assessment (final check before pilot) 46

Monitor Metrics for Continuous Improvement 47

Why Change Management?

Change can be bucketed into two main categories: Incremental and Transformational. Incremental change is easier to implement successfully. It is often based on the current state in order to improve the existing way of doing our work. It typically involves fewer changes and affects a small number of people. On the other hand, Transformational change is more difficult to implement, typically having only a 30% success rate.

Things get more challenging when the change is Transformational because it is designed from a future state and involves a fundamentally new way of doing things. This typically involves significant culture change and affects a large number. The complexity involved in culture change is often why it is easier to change the change than it is to change the culture.

Culture is our values, beliefs, assumptions, and unwritten rules. These shape our behaviors and mindset as well as our performance. Individuals within an organization co-create the culture through conversations and by following behavioral norms. In addition to the overarching culture of an organization, individual subcultures often exist. Taking both of these into consideration for your particular initiative is necessary when determining how to approach a change for your area.

Since there are many complexities involved in executing a change initiative, both change management and project management components are required. Sometimes change management and project management are mistaken as one in the same…when actually they are two complimentary yet different disciplines. Both utilize formal processes, tools, and techniques to plan for the change, manage the change, and sustain the change. While change management focuses on ensuring the support of the people, project management focuses on the work tasks to be executed. Coupled together, proactive change management and project management will lead to the actualization of the benefits of the change initiative.

The one common denominator to achieve success for all change initiatives is people. According to Chip and Dan Heath, authors of Switch, peoples’ brains have two independent systems at work at all times: the rational side (is reflective, it deliberates, analyzes, and looks to the future), and the emotional side (is instinctive, feels pleasure and pain). Think of the rational side of the brain as the Rider and the emotional side of the brain as an Elephant. The Rider’s strength is to think and to plan. Without a plan there is no path to get things done. The Elephant’s strength is emotion. Without emotion there is no motivation (no energy) to get things done.

To change behavior (our own or someone else’s), we must do three things:

1. Direct the Rider – make the destination crystal clear

The Rider has their own issues. A Rider likes to contemplate and analyze information before deciding on a direction. When a Rider isn’t sure exactly which direction to go, they lead the Elephant in circles. Often, what looks like resistance is actually lack of clarity.

2. Motivate the Elephant – make people feel the need for change

When an individual’s six-ton Elephant is not in agreement with the direction their Rider wants to go, the Rider is going to lose. The Rider may get their way temporarily, through close monitoring and exerting self- control, but in the long term the Elephant will ALWAYS overpower the Rider. Why? Self-control is an exhaustible resource. Often what looks like resistance is actually exhaustion. Motivation provides the energy the Rider needs to maintain self-control; a lack of motivation may doom a change effort.

3. Shape the Path – make the required changes specific

To direct the Rider and motivate the Elephant, we need to shape the Path by focusing the situation, including the surrounding environment, to make the change more likely. Being specific narrows the focus, so the Elephant and the Rider are more likely to stay traveling together toward the goal. Often, what looks like resistance is actually lack of direction.

SECTION1:PRE-WORK

Thissectionincludes…

• To Change Behavior – Direct the Rider
• Case for Change Template
• Compelling Vision Interview Template
• Working with Your Sponsor Overview
• Sponsor Expectation Tool
• Stakeholder Analysis and Engagement Plan Overview
• Stakeholder Analysis and Engagement Plan Template
• Change Readiness Assessment (baseline)
• Behavioral Change Plan
• Team Communication Overview
• Team Communication Plan

To Change Behavior – Direct the Rider

Think of the rational side of an individual’s brain as the Rider. The Rider’s strength is to think and to plan. A Rider likes to contemplate and analyze information before deciding on a direction. When a Rider isn’t sure exactly which direction to go, they lead the emotional side of an individual’s brain (the Elephant) in circles. Often, what looks like resistance is actually lack of clarity.

Ways to Direct the Rider – Make the Destination Crystal Clear

Find the Bright Spots:

In situations requiring change, the Rider sees problems everywhere which may result in “analysis paralysis”. To make progress, direct the Rider toward workable solutions by finding and analyzing exceptions to the current problem. These “bright spots” point directly to solutions that will work in the current environment. These solutions can then be implemented as quick wins which will provide direction to the Rider and hope/motivation to the Elephant.

Script Critical Moves:

Decisions fall under the purview of the Rider. The more choices available to the Rider, the more ambiguous the path. An ambiguous path creates uncertainty, which makes the Elephant anxious. An anxious Elephant wants to stay on the path of the “status quo” rather than change to an uncertain path. The “status quo” is comfortable and reduces the Elephant’s anxiety. This means the Rider will have to constantly exert self- control to keep the Elephant on the uncertain path. To create successful change, ambiguous goals must be translated into concrete behavioral goals. Overtime, these defined behaviors become instinctive requiring less self-control from the Rider.

Point to an All or Nothing Destination:

It is necessary to provide the Rider with a near-term vivid picture of an all or nothing goal which shows what could be possible. Describing a compelling destination prevents the Rider from getting lost in analysis.

Instead, the Rider starts figuring out how to get to the goal. This also shows the Elephant why the journey is worthwhile, without giving the Elephant any wiggle room to rationalize failure.

CALL TO ACTION

Use all of the templates and tools provided in this section (Change Management Pre-work) to direct the Rider in relation to your change initiative.

Case for Change Template

The Case for Change Template is a tool that provides the Change Manager with one place to capture all the reasons a change needs to occur. Information to complete this template will be pulled from existing documents: Scope of Work, Project Charter, and relevant background information provided by the Sponsor.

Information on this template will be used to craft communications for each relevant audience impacted by the change.

To reveal the reasons for the change answer the following questions:

Background What current problems need to be solved? How did we get here?
CurrentState Where are we now? Why is what we’re doing currently not working? What opportunities are being missed?
RisksofNotTakingAction What future problems are anticipated if no action is taken? What is the impact to the organization?
BenefitsofTakingAction What are the benefits of making the change? What is the impact to the organization?

Audience:

1. Tailor the Case for Change message to the audience
2. Narrow focus to 3-5 specific (most compelling) things that will resonate with that audience
   • Sponsor
   • Process Owner(s)
   • Sub-process Owner(s)
   • Directors/Managers of impacted employees
   • Impacted Employees
   • Customers.

Compelling Vision Interview Template

The Compelling Vision Interview Template is a tool that provides the Change Manager with probing questions to discuss with theProject Sponsor. Answers to these questions will be used to craft communications for each relevant audience impacted by thechange.

To discover the Sponsor’s vision for the change discuss and answer the following questions.

OrganizationalGoal What do we hope to achieve?
OrganizationalBenefits How will things be better?
Impactto Stakeholders Expected benefits?
Impactto Stakeholders Potential consequences or impacts?

Audience:

1. Tailor the Compelling Vision message to the audience
2. Put yourself in the shoes of your stakeholders – what will be inspiring to them?
   • Sponsor
   • Process Owner(s)
   • Sub-process Owner(s)
   • Directors/Managers of impacted employees
   • Impacted Employees
   • Customers.

Working with Your Sponsor Overview

To ensure actively engaged Sponsorship for a change initiative it is imperative to achieve the most impactful results of a change initiative a strong and active Sponsor is imperative. To ensure a Sponsor is actively engaged they must be educated on their role. The most impactful sponsors will:

1. Serve as a champion for the change initiative
2. Review and approve the Project Charter
3. Secure resources for the project including budget and team member time
4. Regularly review project progress and performance
5. Approve necessary adjustments based on implementation performance results
6. Attend project kick-offs and closing
7. Broadly communicate: personal commitment to change, key milestone achievements, project successes
8. Review pre and post implementation metrics to evaluate realized benefits of change initiative.

The below outlines how to work with the Sponsor throughout the lifecycle of a change initiative:

YOUR RESPONSIBILITIES WHEN WORKING WITH THE SPONSOR

Pre-Implementation

Collaborate with Project Sponsor to create Project Charter and obtain go/no-go decision Review with the Sponsor items listed on the Sponsor Expectation Tool for each phase of the project and obtain their agreement for assuming these responsibilities. Note: If the Sponsor is unable to commit to all described responsibilities, determine workarounds with the Sponsor for who will undertake these tasks (e.g. Steering Committee). Discuss with the Sponsor what is most critical and what can flex for the Project Plan (scope, time or resources) Agree to Sponsor’s preferred cadence and expected content for progress updates Ensure Sponsor can attend pre-implementation meeting with a personal commitment message. Note:IfaprojecthasmultipleSponsors,yourgoalistoensureeachSponsorhasanequalvoice.Todo this, conduct a meeting where all sponsors and yourself are in attendance to gain alignment of project vision,objectivesandscope.ThenestablishongoingworkingagreementswiththeuseofaRACIwhich may be supplemented with Gradients of Agreement, Project Charter objectives and risk logs if necessary.

Implementation

Refresh the Sponsor on their commitment by reviewing items listed on Sponsor Expectation Tool for the Implementation phase. Note:IftheSponsorisunabletocommittoalldescribedresponsibilities,determineworkaroundswith the Sponsor for who will undertake these tasks (e.g. Steering Committee). Ensure Sponsor can attend implementation kick-off to publically acknowledge the work done to date and recognize individuals who were instrumental in the project’s launch Based on agreed upon cadence, provide performance updates to the Sponsor indicating project successes and opportunities for improvement Work with the Sponsor to iterate the project as necessary until desired results are achieved.

Post-Implementation

Refresh the Sponsor on their commitment by reviewing items listed on Sponsor Expectation Tool for the Post-Implementation phase. Note:IftheSponsorisunabletocommittoalldescribedresponsibilities,determineworkaroundswiththe Sponsor for who will undertake these tasks (e.g. Steering Committee). Ensure Sponsor can attend project close-out to discuss lessons learned and provide official sign-off for project closure Proactively discuss with Sponsor ongoing sustainability of change initiative.

Sponsor Expectation Tool

Effective project sponsorship is essential to the success of a change initiative. The executive sponsor is accountable for achieving the initiative’s expected realized benefits. The project sponsor serves as the primary link between the project work team and executive leadership. This involves acquiring the necessary organizational support and facilitating strategic decision making to ensure a successful project outcome.

The below outlines the responsibilities of an effective sponsorship throughout the lifecycle of a change initiative:

Pre-Implementation

Ensure alignment with strategic goals Assess organizational readiness based on existing commitments Create and lead Steering Committee (if needed) Contribute to Project Charter & provide sign-off for go/no-go decision Communicate expected project benefits to impacted stakeholders Delegate decision making authority as appropriate Champion project pre-implementation kick-off with a personal commitment message Serve as point person for escalated issues Approve Project Plan and secure project resources Attend regular status updates and provide feedback to prevent scope creep and course correct if needed.

Implementation

Delegate decision making authority as appropriate if iterations are necessary Kick-off project implementation launch by publically acknowledging work done for the change initiative Receive regular status updates and provide feedback Spearhead ongoing executive level communications and Steering Committee updates Celebrate key milestones with Project Team Communicate key milestones to impacted stakeholders.

Post-Implementation

Broadly communicate and celebrate realized benefits and lessons learned Attend lessons learned session and provide official sign-off for project closure Sustain realized benefits by ensuring people and processes are in place for long term stability.

Stakeholder Analysis and Engagement Plan Overview

What is a Stakeholder?

A stakeholder is a person who has a vested interest in something and who is impacted by and cares about how it turns out. Refer to your COPIS, created during the process mapping phase of the project, as it provides a starting list of stakeholders.

Potential Stakeholders:

1. People who can exert influence or pressure on your change
2. People responsible for creating your change
3. People who can choose to use or not use the results of your change
4. People who will ultimately benefit from the work of your change.

Identify each of your stakeholders into their appropriate types:

Allies

Opportunities

FellowTravelers

Neutrals

Adversaries

Strategy for engaging each Stakeholder Type:

Once your stakeholders are identified into the appropriate type, it is a best practice to prioritize stakeholder engagement in the following order:

1. Allies
2. Opponents
3. Fellow Travelers
4. Neutrals
5. Adversaries.

This prioritization strategy ensures the highest level of ongoing support for the change effort.

Stakeholder Approaches:

Listed below are various approaches for each Stakeholder Type to either maintain or shift each stakeholders’ level of commitment.

Allies(High Agreement/High Trust)

An approach for Maintaining Agreement and Trust

Goal:Affirmagreement

1. Reaffirm the quality of the relationship
2. Acknowledge any doubts and vulnerability you have with respect to your vision and project
3. Discuss their issues or concerns with your project
4. Ask them for advice and support
5. Achieve understanding on their role and responsibilities
6. Confirm their commitment to support your project.

FellowTravelers(High Agreement/Low Trust)

An approach for Maintaining Agreement and Increasing Trust

Goal:Buildtrust

1. Reaffirm agreement by reiterating the value and importance of their support of your project
2. Acknowledge any caution that exists
3. Make it clear you are not expecting them to get actively involved
4. Ask them how they would like to be updated on the project going forward.

Opponents(Low Agreement/High Trust)

An approach for Shifting Commitment and Maintaining Trust

Goal:Buildagreement

1. Reaffirm the quality of the relationship
2. Identify their particular skills and talents and how these connect to your project
3. State your position (case for change, vision for change, benefits to them)
4. State what you think their position is in a neutral way
5. Extend a personal invitation for them to get involved with your project
6. Engage in problem-solving so that you build something together
7. Confirm their commitment to support your project.

Adversaries(Low Agreement/Low Trust)

An approach for Shifting Agreement and Increasing Trust

Goal:Minimizethreattoyourproject

1. Estimate the impact on your project if this person is not on board
2. Identify individuals who can educate you about this person, their issues and concerns
3. State your position (case for change, vision for change, benefits to them)
4. Ask questions that respectfully uncover root cause of their resistance
5. State what you think their position is in a neutral way
6. Identify your own contribution to the lack of trust that exists
7. End the meeting with your plans and no demands
8. If you are going to go around them or over them, tell them your plans
9. Let go; the more you try to convert and pressure them, the more entrenched they will become in their position.

Neutrals(Unknown Agreement and Unknown Trust)

An approach for Determining Agreement and Level of Trust

Goal:Educateanddeterminetheirposition

1. State your position (case for change, vision for change, benefits to them)
2. Ask where they stand
3. Ask what it would take for them to support your project
4. Extend a personal invitation for them to get involved with your project.

Stakeholder Analysis and Engagement Plan Template

Assess the level of commitment of each stakeholder and determine the actions needed to enhance agreement and trust.

• List all stakeholders identified above for your proposed change
• Describe your perception of their current understanding
• Place an “X” in the column that denotes their current Stakeholder Type
• Place a “●” in the column to denote the desired Stakeholder Type
• Describe the desired understanding you would like them to have
• Based on their current Stakeholder Type, cut and paste the approach provided in the Stakeholder Approaches section to develop an action plan for engaging with the stakeholder.

Stakeholder	Currentunderstanding	Neutrals	Adversaries	Fellow Travelers	Opponents	Allies	Desiredunderstanding

Change Readiness Assessment (baseline)

Use the below assessment to assess each team(s) and/or stakeholder(s) readiness for the change.

• Team : ☐ Stakeholder:

QuestionstoAssessChangeReadiness	Yes	Partial	No
(Awareness)Doesyourteamordoesyourstakeholderunderstand…
1. the problems inherent in the current situation?
2. the opportunities that are being missed if the change doesn’t happen?
3. what is trying to be achieved?
4. how things will be better?
5. how the change will impact their area of work?
6. what their role will be in the future state?
(Desire)Doesyourteamordoesyourstakeholder…
1. know that management is aligned with the change efforts?
2. feel their concerns, questions, and needs are being heard?
3. feel hopeful about the future?
4. see value in the change?
5. believe a well thought out strategy is being put in place to achieve the change?
(Knowledge)Doesyourteamordoesyourstakeholder…(skills, informational,training)
1. have the necessary information, knowledge and skills to fulfill their role?
2. know where to go for additional information about the change?
3. know what campus resources are available to support the personal side of change?
4. know what success looks like?
5. have a plan to achieve success?
6. know which behaviors will need to change?
(Ability)Doesyourteam/yourstakeholder…infrastructure(systems,tools)
1. believe that the organization has provided appropriate resources (time, staff, information, etc.) to support the anticipated change?
2. have the necessary systems, processes, and policies in place?
3. have the ability to execute the new behaviors required for the change?
4. know how to perform the required tasks?
(Reinforcement)Doesyourteamordoesyourstakeholder…
1. view management as a resource for removing/overcoming barriers?
2. have mechanisms in place to reinforce the required behaviors?
3. have metrics in place to assess the ongoing effectiveness of the change?
Total

Behavioral Change Plan

To achieve successful implementation, changes in individual behaviors are required. Behavioral changes cannot be left to chance; they must be proactively planned for.

A behavioral change plan defines what success looks like, so it can be measured after the change is implemented. The most successful behavioral change plans look at the:

• Behaviors that need to change
• Systems, processes, and procedures that need to be in place to ensure success
• Other preparation activities required (e.g. training)
• Consequences necessary to sustain behavioral change.

Using the questions below, a behavioral change plan is created by the team, for the team, to ensure sustained behavioral change. The leader creates an initial draft of the plan which is distributed to the team to obtain feedback. The team’s feedback is then incorporate into a revised plan in order to achieve buy-in prior to implementation.

1. What behaviors need to change?

2. What does success look like? How will you measure it?

3. What knowledge, skills, and abilities are needed to ensure new behaviors?

4. What systems and tools are needed to support the behavior change?

5. What new policies, procedures, and/or processes are needed to support the behavior change?

6. What training is needed to support the behavior change?

7. What organizational assistance is available to emotionally support the employee?

8. What reinforcements/consequences need to be in place to sustain behavior change?

Team Communication Overview

To achieve successful implementation, ongoing team communication is required. Communication must be proactively planned for and scheduled.

During times of change it is not uncommon for leaders to experience the following frustrating scenario:

As the manager, I feel like I have communicated clearly and frequently about the current changes, the businessplantoaddressthechanges,andtheneedtomoveforward.However,thelargemajorityofmy teamseemsconfusedaboutanypossiblechangesandatleastonestaffmemberhasblamedmefornot giving the staff enough information.

Leaders often wonder… Why does this happen?

We know from brain imaging research, that we can’t think cognitively very well when we are emotional. The deductive reasoning area of our brain actually shrinks! When anxiety and fear are cumulative, our ability to function actually becomes impaired. This is true for us and for our employees. As supervisors, not only do we need to take steps to address our own emotions around the change, but we need to provide resources, be available to our employees, and role model self-care.

The reason we communicate extensively during change is to ensure that everyone is hearing the same message, understands the new direction, and how their work and behaviors will be impacted by it.

Something to keep in mind is…when people are under stress, their ability to process information is reduced by 80%.

Team Communication Plan

The goal of change communication is to facilitate sustained realization of the change goal by recommitting people along the way. Keep in mind as you are communicating that people have a limited capacity to absorb information under stress. This is why you simply cannot communicate too much.

*Best Practices for Communication

• Communicate often
• Support the change with a positive, yet realistic attitude
  • Do raise concerns to the level above you
  • Don’t criticize the proposed change to the level below you
• Be concise/consistent/use simple language
• Be honest about what is/is not known
• Show caring and empathy
• Listen more than talk, acknowledge feelings
• Be aware of tone, e.g. pronouns (“we” NOT “you”)
• Provide opportunity for dialog, ask for input and feedback (to ensure commitment to the proposed change)
  • Ask… “What additional information do you need?”
  • Ask… “How can we best set you up for success?”
• Using the information provided in The Change Process – Indicators & Strategies (Kubler-Ross), continuously assess each individual ‘s emotional stage and provide them the suggested support.

SECTION2:Manage PersonalTransitions (resistance)

Thissectionincludes…

• Transition Model (Bridges)
• Change Process Model (Kubler-Ross)
• Change Process Model – Indicators & Strategies (Kubler-Ross)
• Core Values Exercise
• Best Practices for Leading Change – What to Do
• Best Practices for Leading Change – What NOT to Do

Transition Model (Bridges)

As a leader of change, it is important to recognize how change will impact the emotional experience of an employee. One way to understand change is in terms of situation and transition.

Change is situational. It is a disruption of expectations (e.g. new worksite, manager, roles, policy, processes, technology, etc.). Every change, even the most longed for, requires leaving something behind and letting go.

Transitionispsychological.It is the process people must go through to come to terms with the new situation. It requires letting go of something, grieving in some way, experiencing feelings of loss and processing those effectively in order to move forward. This requires time and, since it is experienced internally, it may be invisible or hard to observe in others.

The transition process has three stages:

The work of Endings is letting go of the way things have been, including acknowledging what will end and what will be retained in the new.

The work of the Neutral Zone is finding clarity amid confusion. This is the space between the old familiar way and the future state. It is filled with both danger and opportunity. It feels like being between trapezes, where there is nothing to hold onto.

The work of Beginnings is managing the ambiguity of starting something new. It requires understanding why the old way had to change, having a picture in mind of the future state, a plan for getting there, and a role in the new state.

Change Process Model (Kubler-Ross)

Another way to understand change is Elizabeth Kubler-Ross’ Grief Cycle Model (1969) illustrated here. This model, originally used to explain an individual’s bereavement change journey, is also widely used to explain the emotional responses people experience during other forms of change.

The model identifies an individual’s emotional journey over time. As a leader, you must support people differently at each of the different emotional stages. The stages of change are…

• Denial,
• Anger,
• Bargaining,
• Depression, and
• Acceptance.

While the journey appears sequential, in real life people move through the stages at different rates. Some individuals go through the stages in a rather linear fashion. They seem to zip right though the resistance parts of the journey, moving rather quickly straight to acceptance.

Others may get stuck for a period of time at a particular stage. They have trouble “letting go” causing them to get stalled along the way. When multiple changes are staggered or simultaneously occur in an organization during a short period of time, it is not uncommon for an individual to revert back to an earlier stage as the next wave of change hits.

Interestingly, all individuals tend to go through the same emotional journey whether they perceive the change as a positive (something they’ve chosen) or as a negative (something that has been thrust upon them). People often wish they could skip the resistance part of the journey; they can’t. They must go through each of the stages in order to let go of the past and move forward into the future.

Change Process Model – Indicators & Strategies

As a leader, you will notice your employees moving through the stages of change at different rates. To set your team up for success, it will be necessary to be attentive to the emotional stage each individual is experiencing and adjust your support accordingly. In addition to being a resource for your team, you will want to use the strategies below to provide support yourself as well.

Listed below are behavioral indicators along with various strategies to use at each stage to help you generate a plan to provide individual support. Recognizing and proactively responding to the needs of each employee at each stage will help mitigate resistance and provide momentum to move employees forward through the change journey.

Core Values Exercise

One way to effectively manage resistance to change is to tap back into your own core values and find a way to anchor one or more of them to some aspect of the change. At the time a change is announced, the Core Values Exercise tool may be used proactively to create emotional resonance and assist you in supporting the change from a place of authenticity. If the change is already underway, the tool may be used reactively to help you mitigate internal resistance and continue moving you forward through the change journey.

For example:

• If one of your Core Values is Creativity, and you believe the change will bring you more opportunities to be creative in your job (doing less repetitive/routine work) then this would contribute to you supporting the change.
• If one of your Core Values is Responsibility, you may be able to tie supporting the change efforts to what it means to you to be “responsible” at work, and be able to support the change authentically from that perspective.

Circle your top 5 values from the list below. Add any that are missing that are meaningful to you.

• Authenticity Harmony
• Balance Health
• Commitment Honesty
• Compassion Humor
• Concern for others Integrity
• Courage Intelligence
• Creativity Joyfulness
• Education Kindness
• Empathy Knowledge
• Excellence Loyalty
• Fairness Openness
• Faith Perseverance
• Family Personal growth
• Freedom Respect for others
• Friendship Responsibility
• Fun Security
• Generosity Serenity
• Genuineness Service to others
• Happiness Success.

Looking at your identified core values, can you align one or more to the change? If so, how?

Best Practices for Leading Change – What to Do

Provide information, what you know, what you don’t, when to expect updates.– Employees need all available information to make realistic assessments and effective plans. Share what information you have when you have it: what is changing, what is not, what is known, what is unknown, when to expect updates.

Displayapositiveattitude– As the leader, you are in a positon of great influence. In a sense you are your team’s North Star. Even if you are not yet fully onboard with the change, display to your team an attitude that is unbiased and welcoming of feedback.

Stayconnectedtoyourteam– Focus on team goals, foster support, monitor functioning, and celebrate achievements.

Re-recruitpeople– Reiterate to each team member their value, and your desire to have them remain on the team and support the change.

Surfaceissuesandconcerns– Show empathy; help employees reframe their personal response to the change so they can effectively manage their own personal resistance

Providemorestructure– Define short-term objectives, time frames, priorities, and standards to help your team regain its equilibrium

Protectqualityandcustomerservice– Service standards must remain high.

Delegate– Continue delegating work tasks while remaining mindful of each employee’s emotional stage and providing them relevant support.

Empower – As appropriate, give employees more influence in day to day decisions. Determine the appropriate level of authority to assign by considering an employee’s current emotional stage, level of experience, capability, and the task itself.

Raisethebar– Provide challenging assignments and coach employees to grow and develop their skills.

Recognition– During change it is especially important to show appreciation and provide acknowledgement for work well done.

2-waycommunication– Be honest about what you can’t say or don’t know, and be open to hearing feedback.

Inform/updatehighermanagement– Provide candid feedback on the change as it relates to the work and its impact on the people. This ensures leadership has the information needed to make informed decisions

Practice the 4 Vs:

This is not a change strategy by itself, rather a piece of a larger strategy, or a tool, to use at the very moment the change goes live.

1. Visibility– Be visible, available and interested in your employees during this time. Brief check-ins will leave employees feeling supported and valued.
2. Variability– Allow for varying personal reactions (see Kubler-Ross grief cycle model, pages 17-19) and give employees more flexibility at work to take care of themselves.
3. Ventilation– allow opportunities (both formal and informal) for employees to tell their stories, compare their reactions, and express their feelings. Productivity may decrease initially; however, allowing ventilation can expedite getting back to a focus on work.
4. Validation– say thank you and acknowledge employees for their contributions. Special recognitions and verbal encouragements go a long way in challenging times.

Best Practices for Leading Change – What NOT to Do

Don’t censor information or hold back until everything is known

Employees need all available information to make realistic assessments and effective plans. Share what information you do have, when you have it even if the information you have is not complete.

Don’t express cynicism

Employees look to you as a role model and need your support and constructive guidance.

Don’t be unrealistically positive

Don’t be Pollyanna… acknowledge when things are difficult.

Don’t isolate yourself

Employees need access to you to feel supported. Use employees’ cues to know when to become more involved and when to back off.

Don’t expect employees to all react the same way at the same time

Employees respond to the same situation differently (see Kubler-Ross grief cycle model, pages 17-19).

Don’t enable resistance

Enabling is an action you take that protects the employee from consequences of his/her actions and actually helps the employee to not move through the change process.

Examples of enabling include:

• Covering Up

Providing alibis, making excuses or even doing someone’s work for them rather than confronting the issue that they are not meeting expectations.

• Rationalizing

Developing reasons why the person’s behavior is understandable or acceptable.

• Withdrawing/Avoiding

Avoiding contact with the person whose behavior is problematic.

• Blaming

Blaming yourself for the person’s continued challenging behavior or getting angry at the individual for not trying hard enough to improve their behavior or to get help.

• Controlling

Taking responsibility for the person by significantly changing their environment or trying to minimize the impact by moving them to a less important job.

• Threatening

Saying that you will take action (i.e. formal disciplinary action) if the employee doesn’t improve, but not following through.

SECTION3:

DevelopChangePlan

Thissectionincludes…

• To Change Behavior – Shape the Path
• Implementation Strategies
• Risk Assessment Template
• Success Metrics Overview
• Success Metrics Template
• Feedback Strategy Overview
• Feedback Strategy Options
• Change Communications Plan Overview
• Change Communications Plan Template
• Change Communication Brief Template

To Change Behavior – Shape the Path

To direct the Rider and motivate the Elephant, it is important to shape the Path by focusing the situation and ist surrounding environment. Without a specific plan there is no clear path to get things done. Being specific narrows the focus, so the Elephant and the Rider are more likely to stay traveling together toward the goal. Often, what looks like resistance is actually lack of direction.

Ways to Shape the Path – Make the Required Changes Specific

Tweak the Environment

What looks like a person problem is often a situation problem. Simple environmental tweaks may make the journey easier which can lead to dramatic behavioral changes because less self-control is required to achieve the result. Take a look at the situation and determine ways to make the right behaviors a little bit easier (those that support the change) and the wrong behaviors a little bit harder (those that maintain the status-quo).

Build Habits

Think of habits as behavioral autopilot. Habits allow behaviors to happen without the Rider having to take charge and exert self-control. Since self-control is an exhaustible resource, the more behaviors that can occur without tapping into it the better. Behavioral habits can be stitched into the environment through the use of action triggers. An action trigger initiates a preloaded decision to engage in a certain behavior. When people pre-decide, they turn the control of their behavior over to the environment, and an instant habit is created.

One type of action trigger is linking two behaviors together. For example, a person who drinks coffee each morning can connect this behavior to writing a to-do-list for the day. A more elaborate action trigger is the use of a checklist. It educates the Rider on what’s best and indicates the ironclad right way to do something. In complex environments, it can help individuals avoid blind spots and provide insurance against over confidence that can lead to mistakes.

Rally the Herd

In ambiguous situations, individuals look to other people for cues about how to behave. People are incredibly sensitive to the norms and expectations of the communities they are in, and instinctively try to fit in with their peer group. The Elephant looks to the herd for cues about how to behave especially in unfamiliar or ambiguous situations. Because behavior is contagious, publicize situations where the herd has embraced the right behavior and intentionally create language to articulate what is different and better about the change. These steps will serve to unleash the change by rallying the support of early adopters in swaying others in the community to get on board.

Implementation Strategies

When implementing change there are three strategies to consider: Pilot, Big Bang, or Phased Big Bang.

Pilot: Choose a Pilot implementation, if you are testing a new innovative idea, possible growth strategy, or very risky core business operation. By implementing a pilot this will help the project team to analyze results, determine ROI and identify areas of risk and/or improvement before a full implementation roll-out.

Ultimately, the reason for pilot testing is to test quickly and iterate as necessary.

BigBang: Choose a Big Bang implementation for initiatives that align to strategic business priorities driven from the highest levels of leadership. A Big Bang is best used for rolling out a new system or strategy that requires campus-wide adoption and is effective immediately. The implementation typically occurs all at once, and mass communications are used to update and inform employees.

PhasedBigBang:A Phased Big Bang approach is used to chunk the implementation roll-out into cohorts. This approach aims to reduce operational risks associated with ramp up time or scalability and gives the project team the opportunity to iron out any difficulties identified. Groups who are selected for the first cohort must be willing to provide necessary feedback and be strong adopters of the strategy. As each new cohort rolls-out, implementation is expected to get easier as it gains more positive employee

traction.

Example:

Cohort1:Roll-out–January1

Cohort2Roll-out–March1

Cohort3Roll-out–June1

Characteristics of each Strategy

Risk Assessment Template

The purpose of risk assessment is to identify potential problems before they occur. This is to ensure risk mitigation activities can be planned and implemented as needed across the lifecycle of the change initiative. Use the following Risk Assessment Template to identify and address any issues that may hinder the projects desired outcomes.

How to use the Risk Assessment Template:

1. List and describe the risk associated with the change initiative

2. Indicate the risk category:
   • Compliance – Adheres to laws, regulations, and policies
   • Efficiency – Proficiently achieving the objectives of the process
   • Financial – Efficient stewardship of funds
   • Health & Safety – Promotes a healthy community and safe working environment
   • Information – Supports accuracy and reliability of data
   • Operational – Productive use of resources
   • Reputational – Impacts university’s brand
   • Security – Protect and secure information to prevent exploitation, corruption, or loss of data
   • Strategic – Supports a campus, unit, or collaboration level objective

3. Use the below Risk Assessment Matrix to identify the appropriate risk approach

4. For each risk identified with an approach of either Mitigate or Avoid indicate how the risk will be addressed.

RiskDescription	RiskCategory	RiskApproach	RiskPlan
Sample: Vendorsusedforroll- out of changeintiative may violate U.S.federal laws andregulations	Compliance	Avoid	Ensure vendors’ contracting terms includeUCB’srightto monitor and audit

Success Metrics Overview

When implementing a change in the workplace, it is imperative to have success metrics. Success metrics can be defined as the metrics that help leadership to assess the overall health and achievement of the change. Success metrics are useful across all levels of the organization as they evaluate, indicate, and measure performance based on the objectives set forth by the change initiative. From a leadership standpoint, they help leaders understand the initiatives overall impact. Many of these metrics include specifics on how many employees are affected and how the change has impacted their engagement.

The below graphic shows the cycle of determining and tracking success metrics for the change initiative.

Success Metrics are quantitative data obtained from:

• Customer Satisfaction
• Financial Performance (e.g. cost, revenue)
• Operational Performance (e.g. rework, lead time, handoffs)
• Product and/or Service Quality (e.g. quality, defects, volume, frequency)
• Public Outreach (e.g. number of people impacted)
• Supplier Performance (e.g. reliability, durability).

Feedback is qualitative data obtained from:

• 1:1 Meetings
• Team Meetings
• Focus Groups
• Surveys
• Open Comment Box (Live URL available 24/7)
• Incentivized feedback.

Success metrics and feedback are used to understand the current

landscape of the change effort through all stages of the initiative. Quantitative data can be disseminated via metrics reporting. Qualitative data must be combined and grouped into common themes in order to bubble up relevant information. For transparency, all impacted employees must be provided the outcome of the metrics and feedback provided to leadership.

Pre-Implementation – gather success metrics

Use the time before implementation occurs to hypothesize possible success metrics tied to the change objectives. These metrics should be defined before Day 1 of the Pilot, Big Bang, or Phased Big Bang kick- off.

Implementation – Pilot, Big Bang, or Phased Big Bang Kick-off

The first three months is the learning curve period. During this time, expect many of the metrics to be volatile. Typically, after 3 months the data will start to normalize and a true pattern of the strategy’s performance will emerge.

Post Implementation – monitor, control success, and promote continuous improvement

By the end of the testing period the change strategy should now be evergreen in your department. To ensure its continued success, monitor and keep all success metrics visible to the users at hand. Update these metrics with a particular cadence (weekly, bi-weekly, etc) and have conversations around achievements or improvement opportunities as they arise throughout the year. Refer to Monitor Metrics for Continuous Improvement.

Employees have a responsibility to the campus to be accountable for the changes made year over year. Ongoing monitoring of metrics ensures a feedback loop for continuous improvement. This feedback helps leadership to understand that no one process is forever optimal. By maintaining the conversation of metrics, we can collectively celebrate success while continually exploring improvements together.

Success Metrics Template

Determine the metrics that speak to the change initiatives objectives and are critical to sustaining success.

What is changing?	Whatisthe measure?	Success metricsdata category*	Currently existsasa metric?(Y/N)	Dataowner?	Frequency (weekly, monthly)

*SuccessMetricsDataCategories:

FinancialPerformance(e.g.cost,revenue)

OperationalPerformance(e.g.rework,leadtime,handoffs)

Product and/or Service Quality (e.g. quality, defects, volume, frequency) CustomerSatisfactionPublicOutreach(e.g.numberofpeopleimpacted) Supplier Performance (e.g. reliability, durability).

Feedback Strategy Overview

When implementing a change, create a feedback strategy for each phase of the change:

• Pre-implementation – used to understand existing concerns
• Implementation – illustrates how the implemented change immediately impacted the identified concerns and helps determine if iteration is necessary
• Post-implementation – used to monitor and control the implemented change and fosters continuous improvement.

The data collected in each phase allows the Project Team to understand the successes and ongoing opportunities of the roll-out. This information is communicated to the Leadership Team to enable informed decisions. The following graphic illustrates the elements of the feedback strategy.

Feedback Strategy Options

When obtaining feedback there are various self-service or in-person methods to choose from. Use the tables below to select the strategies that best apply:

Change Communications Plan Overview

The Change Communications Plan is a tool that provides the Change Manager with a high level messaging plan for informing important stakeholders throughout the lifecycle of a change project. These communications are used to create awareness and provide key information to keep stakeholders updated appropriately.

Messaging around a change is often complex. There can be numerous stakeholders with varying interests requiring messages to be framed differently. For this reason, it is important to have the right people in the room when drafting the Change Communications Plan to ensure a holistic approach when determining: the audience (who), messaging (what), and communication delivery method (how).

Work Session Participants:

• Change Manager
• Project Manager
• Project Leadership Team (Sponsor, Project Leads, Process Owners, etc.).

Work Session Format:

• 2-Hr Meeting (add additional meetings if needed)
• Include all required participants
• Edit Process Improvement Communications Plan in real-time

• LCD Projector & Laptop
• Project Process Improvement Communications Plan template (see Pages 35-38).

Instructions for Change Communications Plan Template:

1. Using the provided template, work session participants will complete Sections 1 & 2 together to the best of their ability. Keep in mind this is a working document and additional items can be check marked throughout the working session.
2. Begin to complete Section 3 by referring to the first identified audience in Section 1 and complete the template for all messages related to that particular audience.
3. Continue to follow Step 2 until all audiences have been addressed in the Section 3’s plan.
4. Once complete, the Communications Plan is managed and owned by the Change Manager and/or the Communications Leads who will ensure the execution of these messages.

Instructions for Change Communications Brief Template:

There are often numerous stakeholders with varying interests that require messages about the change initiative to be framed differently. The Change Manager will use the completed Change Communications Plan to create Change Communications Briefs for each determined communication.

Often in small to medium sized change initiatives, the Change Manager is expected to craft the messaging themselves. Use the Change Communications Brief Template as a thinking tool to outline your messages.

In the event that you are able to partner with a Communications Specialist, provide the completed Change Communications Brief Templates to them for reference as they prepare messaging for you.

Change Communications Plan Template

Project Title:

Project Description:

CombineCaseforChangeandCompellingVisionwordingobtainedfromProjectCharter.

SECTION 1: Determine Stakeholders

ReadthroughthelistofStakeholdersbelowandplaceacheckmarknexttoanythatwillrequiremessaging for your project

CAMPUS LEADERSHIP

• Vice Chancellors
• Chancellor’s Cabinet

FACULTY

• Council of Deans
• Academic Senate
• The Berkeley Division Council (DIVCO)
• Department Chairs

OFF CAMPUS STAKEHOLDERS

• Donors
• Cal Neighbors
• Local Chamber of Commerce
• Local City Council
• Other UC Campuses
• Parents
• State Legislatures
• UC Berkeley Alumni
• UCB Foundation
• UC Office of the President (UCOP)
• UC Regents
• Vendors

STAFF

• Chief Administrative Officers Group (CAO)
• Campus Advisory Groups
• RAC Forum
• HR Network

STUDENTS

• Associated Students of UC (ASUC)
• Graduate Assembly Leadership
• Undergraduates
• Graduate-Professional
• Graduate-Academic

IDENTITY-BASED STAFF ORGANIZATIONS

• Alianza
• Asian Pacific American Systemwide Alliance (APASA)
• Berkeley Staff Assembly (BSA)
• Berkeley Veterans
• Black Staff & Faculty Organization (BSFO)
• Cal Women’s Network
• Chancellor’s Staff Advisory Committee (CSAC)
• Staff Alliance for Disability Access (SADA)
• LavenderCal
• Native American Staff Council (NASC)

COMMUNITIES OF PRACTICE

• Academic Business Officer Group (ABOG)
• AppNet
• Berkeley Events Network (BEN)
• Berkeley Facilitator’s Network (BFN)
• Business Process Analysis Working Group (BPAWG)
• Berkeley Research Administrator’s Group (BRAG)
• Cal Assessment Network (CAN)
• Campus User-Centered Design Group (UCD)
• Camps and Youth Programs on Campus (CYPC)
• Career Practitioner’s Community (CPC)
• Coalition for Education and Outreach (CEO)
• Cal Data Visualization Network (CDVN)
• Micronet
• Web Accessibility
• Webnet

OTHER INTERNAL STAKEHOLDERS

• Admissions
• Academic Advising
• BAIRS
• BFS
• CalAnswers
• CalCentral
• CalPlanning
• Cal Student Central
• CalTime
• CSS-IT
• Data Warehouse
• Environment Health and Safety (EHS)
• Financial Aid and Scholarship Office (FASO)
• General Accounting
• Graduate Education
• HCM
• Information Services and Technology (IST)
• Office of the CFO
• Office of the CIO
• Office of the Registrar
• Payroll
• PeopleSoft – infrastructure
• Student Affairs IT (SAIT)
• Student Technology Council (STC)
• Technology Program Office (TPO)
• Vice Chancellor of Administration & Finance (VCAF)
• Vice Chancellor of Equity & Inclusion (VCEI)
• Vice Chancellor of Research (VCR)
• Vice Chancellor of Student Affairs (VCSA)
• Vice Chancellor of Undergraduate Education (VCUE)
• Vice Chancellor of University Development & Alumni Relations (UDAR).

SECTION 2: Identify Channels of Communication

Check all tools that you are interested in using for your project communications. Most audiences require multiple communication channels to be reached effectively.

MESSAGING FROM EXECUTIVES

• Campus Leadership
• Project Leadership

EMAIL

• CalMessage (broadcast email)
• CalMessage (subscription lists)
• Other campus email lists

ELECTRONIC MEDIA

• Departmental Website
• Presentation Slide Deck
• Project Blog
• Project Website
• Project WIKI
• Sponsor/Partner Website
• System Notifications
• Videos

SOCIAL MEDIA

• Instagram
• Facebook
• LinkedIn
• Slack
• Snapchat
• Twitter
• YouTube
• Virtual Chat Rooms
• Wisdom Café

EDUCATIONAL TOOLS

• FAQs
• Infographics
• Information Kits
• Job Aids
• Training Manuals
• Training Workshops

PUBLICATIONS

• California Magazine (Alumni)
• Daily Californian
• The Berkeleyan
• The Graduate

PRINT MEDIA

• Banners
• Brochures
• Fact Sheets
• Newsletters
• Post Cards
• Posters

MEETINGS

• 1:1
• Department Staff Meetings
• Unit Staff Meetings
• Team Meetings

EVENTS

• Project Launch
• Project Road Show
• Town Hall Meetings

OBTAIN PRE/POST IMPLEMENTATION FEEDBACK

• Surveys/User Polls
• Open Comment Box
• Incentivized Feedback
• Focus Groups

COMMUNITIES OF PRACTICE PRESENTATION

• BPAWG
• CAN
• BFN

STAFF GROUP PRESENTATION

• Chief Administrative Officers Group (CAO)
• RAC Forum
• HR Network
• CSS Manager/Supervisor Forum

SECTION 3: Draft High Level Plan

Project Title: Date Drafted/Revised:

Audience Who needs to know? (see section 1)	Message Information to communicate	Messenger Who should deliver the message?	Method of Communication How will the message be delivered? (see section 2)	Communication Date

Change Communication Brief Template

Name:

Project Title:

Email/phone:

Department:

Request Date:

Due Date:

Methods of Communication:

Audience(s):

Main Message:

Required Message Details:

Call to Action (if applicable):

Additional Considerations (if any):

Strengths (check all that apply) – One or more of our key strengths should come through in the content of this communication.

• Conviction
• Scale
• Excellence
• Diversity

Tone (check all that apply) – Choosing from the specific traits below will help you communicate with a consistent voice.

• Curious
• Optimistic
• Intense
• Transparent
• Open
• Influential
• Independent
• Socially Conscious.

SECTION4:

Implement&Monitorthe

Thissectionincludes…

• To Sustain the Change – Keep the Momentum Going
• Change Readiness Assessment (final check before pilot/big bang)
• Monitor Metrics for Continuous Improvement

To Sustain the Change – Keep the Momentum Going

When any forward movement towards the change is noticed, it must be reinforced. Look for bright spots, no matter how tiny, and reward them. Reinforcement of bright-spot behaviors creates a snowball effect. As people begin to act in a new way, and are recognized for this new behavior, it becomes increasingly difficult for them to dislike the way they are acting. As they act differently, they begin to think of themselves differently, and as their identity evolves, this reinforces the new way of doing things. At some point, the momentum shifts from resisting the change to supporting it. This is how small changes, when reinforced, snowball into big changes.

CALL TO ACTION

Use all of the templates and tools provided in this section (Implement and Monitor the Change) to sustain the change and keep the momentum going.

Change Readiness Assessment (final check before pilot)

Use the below assessment to assess each team(s) and/or stakeholder(s) readiness for the change.

• Team : ☐ Stakeholder:

QuestionstoAssessChangeReadiness	Yes	Partial	No
(Awareness)Doesyourteamordoesyourstakeholderunderstand…
1. the problems inherent in the current situation?
2. the opportunities that are being missed if the change doesn’t happen?
3. what is trying to be achieved?
4. how things will be better?
5. how the change will impact their area of work?
6. what their role will be in the future state?
(Desire)Doesyourteamordoesyourstakeholder…
1. know that management is aligned with the change efforts?
2. feel their concerns, questions, and needs are being heard?
3. feel hopeful about the future?
4. see value in the change?
5. believe a well thought out strategy is being put in place to achieve the change?
(Knowledge)Doesyourteamordoesyourstakeholder…(skills, informational,training)
1. have the necessary information, knowledge and skills to fulfill their role?
2. know where to go for additional information about the change?
3. know what campus resources are available to support the personal side of change?
4. know what success looks like?
5. have a plan to achieve success?
6. know which behaviors will need to change?
(Ability)Doesyourteam/yourstakeholder…infrastructure(systems,tools)
1. believe that the organization has provided appropriate resources (time, staff, information, etc.) to support the anticipated change?
2. have the necessary systems, processes, and policies in place?
3. have the ability to execute the new behaviors required for the change?
4. know how to perform the required tasks?
(Reinforcement)Doesyourteamordoesyourstakeholder…
1. view management as a resource for removing/overcoming barriers?
2. have mechanisms in place to reinforce the required behaviors?
3. have metrics in place to assess the ongoing effectiveness of the change?
Total

Monitor Metrics for Continuous Improvement

Once implementation occurs begin tracking the success metrics identified in the Success Metrics Template. At this point, these metrics are used to gauge a pulse on adoption, engagement, buy-in, and to obtain an overall reaction to the change. The Project Manager and Change Manager will collaborate

to create communications with a particular cadence that disseminates both the quantitative and qualitative data being tracked.

The graphic to the right shows the cycle of how tracking success metrics contributes to a continuous improvement feedback loop.

For project transparency, ensure all impacted employees are also provided with a communication of the outcome of the metrics and feedback that are shared with leadership.

Success Metrics are quantitative data obtained from:

• Adoption rate
  • User reach (e.g. number of people impacted)
  • Speed of adoption
  • Number of exceptions made
• Financial Performance (e.g. cost, revenue)
• Customer Satisfaction
• Usage and utilization reports
  • Operational Performance (e.g. rework, lead time, handoffs)
  • Product and/or Service Quality (e.g. quality, defects, volume, frequency)
  • Supplier Performance (e.g. reliability, durability)
• Employee Engagement
  • Turnover rate (number of people leaving due to the change).

Feedback is qualitative data obtained from:

• Employee buy-in
  • 1:1 Meetings
  • Team Meetings
• Employee feedback
  • Focus Groups
  • Surveys
  • Open Comment Box (Live URL available 24/7)
  • Incentivized feedback.