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What happens if a Necessary Change Management Component is missing? ... Change Process Model – Indicators & Strategies (Kubler-Ross) .
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Change Management Toolkit
Change Management Toolkit
Why Change Management?
As a top-ranked public research university, UC Berkeley serves as a flagship institution when it comes to our bold and innovative initiatives. Change management is often the key component in driving the success of these ventures. As we know from our own experience, not all change initiatives are equally disruptive. Some will have a greater impact and be more challenging. Others may be barely noticeable.
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. (Taking Stock survey by The Change Management Toolbook, February 2005) Why is that?
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.
Heath, Chip, and Dan Heath. Switch: How to Change Things When Change Is Hard. Thorndike Press, 2011
Change Management Toolkit
What happens if a Necessary Change Management Component is missing?
Industry statistics show that only 30% of organizational change initiatives are successful. For a change initiative to be regarded as successful, the desired objectives of the effort must be fully realized. The reason 70% of change initiatives fail is because organizations do not engage in effective change management. There are seven necessary components of change management. If any component is neglected, the result will be a less than optimal achievement of the initiatives goals. The below graphic illustrates the seven
components required for successful change management and indicates specific consequences that occur when a component is missing. To assist you in proactively addressing each component, relevant remedies from the Toolkit are provided.
Adapted from: Linkage, Inc. “Leading Change and Managing Transitions.” Leading Change and Managing Transitions, 2015, pp. 8–11’
Change Management Toolkit
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.
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.
Heath, Chip, and Dan Heath. Switch: How to Change Things When Change Is Hard. Thorndike Press, 2011.
Change Management Toolkit
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.
Background What current problems need to be solved?
How did we get here?
Current State Where are we now?
Why is what we’re doing currently not working?
What opportunities are being missed?
Risks of Not Taking Action What future problems are anticipated if no action is taken? What is the impact to the organization?
Benefits of Taking Action What are the benefits of making the change? What is the impact to the organization?
Audience:
Adapted from Linkage and Bain & Company
Change Management Toolkit
Working with Your Sponsor Overview
To ensure actively engaged Sponsorship for a change initiative it is imperative to
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:
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
Note: If a project has multiple Sponsors, your goal is to ensure each Sponsor has an equal voice. To do this, conduct a meeting where all sponsors and yourself are in attendance to gain alignment of project vision, objectives and scope. Then establish ongoing working agreements with the use of a RACI which may be supplemented with Gradients of Agreement, Project Charter objectives and risk logs if necessary.
Implementation
Post-Implementation
Change Management Toolkit
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.
Throughout the lifecycle of the change initiative (pre-implementation, implementation, post-implementation) an effective sponsor must actively engage in the following activities:
The below outlines the responsibilities of an effective sponsorship throughout the lifecycle of a change initiative:
SPONSOR RESPONSIBILITIES
Pre-Implementation Implementation Post-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
☐ 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
☐ 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
Ensure Alignment
Ongoing Communication
Gain Commitment
Arrange Resources
Facilitate Problem Solving
Provide Support
Build Sustainability
Effective Sponsorship
Change Management Toolkit
Identify each of your stakeholders into their appropriate types:
List Your Allies
List Your Opponents
List Your Fellow Travelers
List Your Neutrals
List Your Adversaries
Change Management Toolkit
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:
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: Affirm agreement
Fellow Travelers (High Agreement/Low Trust)
An approach for Maintaining Agreement and Increasing Trust Goal: Build trust
Opponents (Low Agreement/High Trust)
An approach for Shifting Commitment and Maintaining Trust Goal: Build agreement
Change Management Toolkit
Stakeholder Analysis and Engagement Plan Template
Assess the level of commitment of each stakeholder and determine the actions needed to enhance agreement and trust.
Stakeholder
Current Understanding (Describe stakeholder’s current understanding of the project and any needs/concerns)
Neutrals Adversaries Fellow Travelers Opponents Allies
Desired Understanding (Describe the desired understanding for each stakeholder to ensure successful adoption)
Discussion Approach (List the elements of the approach you plan to use with the stakeholder)
Adapted from Linkage
Change Management Toolkit
Change Readiness Assessment (baseline)
Use the below assessment to assess each team(s) and/or stakeholder(s) readiness for the change. ☐ Team : ___________________________ ☐ Stakeholder: ___________________________
(Awareness) Does your team or does your stakeholder understand…
(Desire) Does your team or does your stakeholder…
(Knowledge) Does your team or does your stakeholder… (skills, informational, training)
(Ability) Does your team or does your stakeholder… infrastructure (systems, tools)
(Reinforcement) Does your team or does your stakeholder…
Total
Change Management Toolkit
Behavioral Change Plan, cont.
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?
Adapted from Bain & Company
Change Management Toolkit
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 business plan to address the changes, and the need to move forward. However, the large majority of my team seems confused about any possible changes and at least one staff member has blamed me for not 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%.
Communicating Organizational Change: Information Technology meets the Carbon-Based Employee Unit, Joseph G. Wojtecki, Jr., and Richard G. Peters, Center for Risk Communication, 2000
