Change Management Toolkit

Sourcebook
Change Management Toolkit
Enhance your coaching and counseling skills!

Utilize this compendium with Project
Champions, Black Belts, Green Belts and other
Team Leaders.
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Executive Summary
Change Management
Change management is a process for engaging people at all levels in the organization’s successful transition to a
desired future. Its goal is to ensure that people are both willing and able to adopt necessary new behaviors while
letting go of those that are no longer appropriate.
Among the challenges the organization faces are:

• Different perceptions of whether, why, and when change is necessary
• Conflicting objectives between and across organizational levels and units
• Struggles for control
• Emotional stress and increased conflict
• Reluctance to relinquish a highly-valued past
The Toolkit
To address the multiple change management challenges within organizations, this compendium offers a set of tools
for use throughout the change initiative. Change coaches and teams will find tools that support the application of
each Lever in the change model. Some tools support analysis of change management gaps; others support
development of strategies to close them.
The change Lever Defining the Change and its associated tools set a project team up for success. The remaining
Levers are applied iteratively throughout the change process:
• Identifying a shared need
• Developing a shared vision
• Leading the change
• Engaging and mobilizing the stakeholders
• Creating accountability
• Aligning systems and structures
• Sustaining the Change
Toolkit Organization
Tools are listed under the change Lever to which they are most relevant. You will find the following information
for each tool:
• What is it? — Provides a brief description of the tool
• Why use it? — Notes the main reasons a team may benefit from applying the tool
• Timing — Suggests the most typical time in the process that the tool is applied
• Steps — Describes suggested steps for using the tool
• Tips — Provides some suggestions to the coach on how to apply the tool
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Table of Contents
SECTION
Executive Summary 2
Defining the Change

• Scoping Discussion Questions 6
• Team Charter 11
• Team Capability Assessment 15
• Team Operating Agreements 17
• GRPI Model of Team Work 19
• GRPI Checklist 21
• In Frame / Out of Frame 23
• Is / Is Not 25
• SIPOC & Start/Stop 27
• 15 Words 29
• Change Diagnostic and Change Profile 31
Creating a Shared Need

• Changing via Threat Versus Opportunity 45
• Data, Demonstration, Demand (3Ds) 47
• Business Need/Vulnerability Assessment 50
Developing a Shared Vision

• Visioning Questions 53
• Current / Future State 55
• Backwards Imaging 57
• Bulls-Eye Chart / More of-Less of 59
• Elevator Speech 62
Leading the Change

• Change Leader Assessment 66
• Project Managers vs. Change Leaders 68
• Business / Personal Audit 72
• Past Experience Profile 74
Engaging & Mobilizing Stakeholders

• Stakeholder Analysis 78
• Three Phases of Individual Transition 80
• Stakeholder Position 83
• Key Constituents Map 85
• Building an A.R.M.I. 88
• Force-Field Analysis 90
• Attitude Charting 92
• Technical-Political-Cultural Analysis 94
• Influencing Strategies 96
• Communication Strategy 98
• Communication Action Plan 100
• Communication Templates for “External” Communications 102
• Communication Event Planning Template 105
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Table of Contents (continued)
Creating Accountability
• Impact Mapping 107
• 30, 60, 90 Day Review 109
• RACI 111
• Manager Readiness Scorecard 114
• Action Plan 116
Aligning Systems & Structures

• Project Impact on Systems and Structure 121
• Circles of Control and Influence 123
• 7-S Model 125
• 5S Realignment Template 128
• Measurement / Reward Cycle 130
• Measurement Audit 133
•
Sustaining the Change
• Tracking Progress Checklist 137
• Change Via the Change Profile (See Defining the Change) 139
• Maintaining Focus, Pressure and Energy 140
• Sustainability Criteria and Questions 142
4
Defining the Change
5
Scoping Discussion Questions
What is it? A set of questions that help the project team define the nature and scope of their change
work
Why use it? Using the Scoping Discussion Questions assures clearly defined scope, critical to
successful change implementation. A poorly scoped initiative can be unsuitable for the
change process or may make the initiative very difficult to complete successfully.
Timing • Early in the process of considering the business opportunity for a change initiative
• When the change project is first being organized
• When the change team are ready to implement their change
Steps 1. Before meeting with the business Sponsor and/or team leader, add additional
questions and remove less relevant ones.
2. During the meeting, use the Scoping Discussion Questions as a guide in discussing
the potential change.
3. During and after the end of the meeting, note conclusions and decisions at the end of
the Scoping Discussion Questions.
4. Define any additional steps needed to decide on the viability of the potential change
initiative.
Tips • It often takes more than one meeting to scope a potential initiative. During your
meeting(s) with the Sponsor and team leader, be sure to keep the door open for
further discussions .
• Feel free to pursue additional meetings, interviews, and questions which would help
confirm the potential of this change initiative --- these sessions are difficult to script .
• Be sure to discuss the initiative, your doubts, and any concerns with other change
coaches. Their input can help you decide on the viability of the potential initiative.
They can also help you determine whether it is defined and scoped appropriately.
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Template: Scoping Discussion Questions
Initiative / Issue: Project leader:
Date:
Business /
Sponsor:
Background and Overview Information
Guiding Questions:
• What is the business problem? What about this problem do you think can be improved by implementing
the change?
• Describe the change initiative, the project you have in mind.
• What work processes does this problem impact?
• Why is this initiative important to you, your unit or function, your customers, the organization? Which
business or cultural priorities does it support?
• What systems and structures are currently being used to address this problem?
• What technical solutions have been selected to deal with this problem?
• What outcomes have these efforts achieved? In what way haven’t these efforts worked as well as you
would like?
• What would success look like to you? What are the expected outcomes? What does the desired
“future state” look like?
• What measurable targets can be tracked towards this future state?
• What concurrent change initiatives or projects are underway in your business?
• What documents would it be helpful for us to review?
Note:
• Using this form pressures those doing the scoping to know and understand the change purpose, process
and tools.
• It may be helpful to ask those involved in the scoping meeting(s) to complete the Change Diagnostic,
using the Diagnostic Questions. The responses will help you assess the leader’s success in creating
change.
7
(continued)
Identifying the Scope of Change Work
Guiding Questions:
• What specifically would you like to work on? (What is “in scope?)
• What will you not work on? (What is “not in scope?”)
• What are the critical success factors for this project?
— Must do
— Must have
— Critical persons’ support
— Key metrics
Note:
• If there is general agreement on these questions among the people you are interviewing, chances are they
are talking about the same piece of work to be done. Lack of agreement indicates people have diverse
versions of the work. This could mean the scope is too large. Points of agreement can help define the
scope.
• How would you rate your business/the team current working on this project in creating sustainable
change? Use the Change Diagnostic tool, clarifying the angle from which the Profile is being created.
To What Extent Would This Project Enable High Medium Low
Business transformation?
Improved change management?
Personal development of those involved?
Organizational learnings on implementing accelerated change?
Cultural change and engagement opportunities?
Note: This last question might be more of an internal discussion between coaches that are scoping this
project.
8
(continued)
Identifying the Change Team(s)

• Does a project team already exist?
— Describe the make-up and nature of this team.
— Is there a project leader?
— To what degree has a team already begun to implement the technical strategies?
• If a team doesn’t exist, how and when can one be formed? Use the Team Capacity Assessment
tool to help do this.
• What do you think this team’s biggest challenge will be?
• What level of priority does (or will) this work have for team leaders and team members? What work
has higher priority?
• How much time will it take to implement this change?
Identifying the Sponsor’s Role / Contracting with the Sponsor
• What role do you see yourself playing on this initiative?

• Which, or what kind of, decisions do you want to make? Which, or what kind of, decisions do you
want to be involved in?
• What key actions do you want to participate in?
• How do you want to be kept informed about progress? How could the team best maintain regular
contact with you?
• What questions about change or leading change do you have?
9
(continued)
Conclusion
• Is this issue/project, as it is, an appropriate change YES NO UNCLEAR

initiative?
• List three compelling reasons why it is, is not or why you are unclear (i.e., solutions have or have not
been identified; an action plan with technical solutions and a project team already exist or do not exist).
• What needs to be done to develop this issue/project? What change process can be used most
effectively?
What Needs to be Done? Who Will Do This? By When?
• How might the standard change process need to be altered for work to start on this initiative?
Consider the following:
— A great need and idea but no clear solution
— Existence or non-existence of technical strategies
— Team structure
— Delivery format
— Timing
— Leadership agreements/needs
• What are your next steps for moving forward?
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Team Charter
What is it? A set of questions that help the project team define the “contract” under which team
members work together to produce their results.
Why use it? By clarifying “what, why, when, who, how, and with what”, the Team Charter helps
teams address issues that can enhance or inhibit their development and their success in
achieving goals.
Timing • After scope, need, goals, roles and outcomes are clear
• While it is ideal to create the charter when a team is first formed, it is valuable to
develop one at any time in their work process.
Steps 1. Ask the team leader to draft a Team Charter, usually with the support of a change
coach, as a summary of the topics covered in the charter.
2. Have the team leader circulate the draft Charter to team members for input.
3. Before the Charter is finalized, ensure it is reviewed with the initiative’s Sponsor to
confirm the Sponsor’s agreement. Have the team leader share any modifications with
this team.
Tips • This tool serves as a good summary of the outputs of a number of other change tools.
It keeps the output of multiple tools together for the team.
• A coach could produce a draft for the team leader, but the team leader is accountable
for completing the tool.
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Template: Team Charter
Initiative:
Project Leader:
Team Members:
Date:
Project Definition and Scope

• What processes and outcomes is this team responsible for? What (if anything) is out-of-bounds for this
team?
• What requirements or boundaries are “givens” for this team? What, if any, constraints must this team
work under?
• What resources are available to this team?
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Template: Team Charter (continued)
Project Need
• Why is this work important?
• What are the consequences of not doing this work?
• How does it fit with other business initiatives and goals?
Project Deliverables
• What specific goals must the project meet?
• What specific goals must this team meet?
• For each goal, what milestones are critical?
• How will they be measured?
• When must they be met?
• How will the Change Diagnostic be used to help measure the successful implementation of this
project?
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Template: Team Charter (continued)
Project Team Roles
• What power to act or decision-making authority does or should the team have?
• Does this team have the right members (functionally and hierarchically)?
• What is project team leader’s role?
• What role(s) do the team members have?
• What time commitment is expected of team members? What will happen to their “regular” jobs while
they are working on this change project?
• How do the team members want to work with their Sponsor?
• How will they communicate with and report to their Sponsor?
• What agreements have the team made for how they will work together? What are their “operating
agreements”?
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Team Capability Assessment
What is it? A framework that helps team leaders and the initiative’s Sponsor select or assign
responsibilities to team members
Why use it? The tool provides a structured way to

• Identify the specific capabilities needed to deliver the team’s results
• Assess the team’s existing capabilities and identify any gaps
• Determine how best to meet the team’s capability needs
Timing Since the Team Capability Assessment is designed to be used to form a team, it should
be applied prior to a team’s first meeting, typically as a Defining the Change tool. It may
be re-applied if team’s scope changes.
Steps 1. Have the team leader document his/her view of the capabilities needed for the team to
meet its objectives. Examples of the capabilities that may be defined include:
specific functional background; types of knowledge (e.g., deep familiarity of the global
vehicle design process) and/or experience (e.g., experience with six sigma); pre-
established relationships with key groups/teams/units/positions; ability to work on
multi-functional teams; proven ability to deliver on commitments; etc.
2. The team leader should next identify possible team members who, collectively, meet
the capability requirements, documenting each person’s proficiency in each capability.
3. The team leader and Sponsor should reach agreement on required capabilities and on
possible team members. Alternative candidates should be identified for potential
members whose availability is uncertain.
4. Once a team has been chosen, its leader should ask team members to self assess their
proficiency in each of the capabilities. Significant discrepancies between self
assessments and the team leader/Sponsor’s assessments should be discussed with the
team member and resolved if possible. If discrepancies remain, additional or
replacement members should be considered.
Tips • The team leader and Sponsor should avoid the natural tendency to begin by naming of
possible team members. Adhering to the structured process is more likely to produce
a stronger team.
• A small team can move more quickly and is easier to manage. To keep the team as
small as possible, the team leader and Sponsor should make every effort to identify
people who fulfill multiple capabilities.
• The team leader should use his/her own judgment about asking team members to self-
assess their proficiency in the required capabilities. If he/she knows the individual team
members well, that step may not be needed.
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Template: Team Capability Assessment
Instructions
1. Business and team lead should identify the required capabilities for effective and quick implementation.
2. Individual team members should rate themselves as Expert/Proficient/Inexperienced for each capability.
3. Team Leader should compile self-assessments, identify gaps and action items, and discuss development
plans and targets with team members.
Team Members
Capabilities Needed to
Complete the Project with
Speed
1.
2.
3.
4.
5.
6.
7.
8.
Etc.
Team Member’s Current Degree of Proficiency:

5=Expert 3=Proficient 1=Little or No Experience/Skill
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Team Operating Agreements
What is it? An illustration of operating agreement topics and content
Why use it? Operating agreements document team members’ commitments to each other and to the
project. They ensure members have consensus on the performance and behavioral norms
that govern what they will do and how they will do it.
Timing Team Operating Agreements should be discussed as early as possible when the team is
forming, coincident with the development of the Team Charter.
Steps 1. In advance of the meeting with team members, the team leader should ask them to
think about, document, and bring to the meeting:
• Behaviors or actions that could help or hinder the team’s effectiveness
• Any expectations they have of the leader and other team members
2. During the meeting, the team leader may start things off by suggesting one or two
operating agreements. He/she should then ask for other ideas and record each on a flip
chart.
3. After all ideas have been captured, the team leader should confirm that all topics on the
illustration have been addressed. If not, he/she should share the tool and ask team
members to consider the additional topics.
4. The team reaches consensus on those norms it will adopt.
5. One of the members takes responsibility for summarizing and distributing the operating
agreements within a specific timeframe.
Tips • It is not usually a good idea to begin the process by sharing the tool (or Team
Operating Agreements from previous projects). If examples are presented to the team
before they have generated their own ideas, they are less likely to think through what
they really need for this specific project.
• During at least the first few team meetings, consider having the Team Operating
Agreement blown up and posted in the meeting room. This reinforces the expectation
that members will act in accord with team norms. It also makes it easier for team
members to monitor themselves and each other. Over time, team members are likely
to start pointing out the relevant operating agreements to each other.
• Some teams ask each member to sign the operating agreements as a confirmation of
commitment to them.
• When new members join the team, reintroduce the Team Operating Agreement during
the first meeting at which the member is present.
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Illustration: Team Operating Agreement
• We will all participate more or less equally over time

• Our communications will be candid but tactful
• We will focus be on problem-solving, learning, collaboration and decision-making (rather
than finding fault, assigning blame, etc.)
• We will be disciplined in our use of time
• We will review all decisions and task assignments at the end of each meeting to confirm
we have clarity and a shared understanding
• We will produce an agenda in advance of each team meeting, with team member input
• We will identify the purpose or expected outcome of each agenda item
• We will complete assigned pre-work (e.g., reading, data gathering)
• We will produce and distribute brief written minutes, including decisions,
accountabilities, timing and next steps, shortly after each meeting
• We expect that each team member will attend each team meeting
• We will listen to each other
• We will agree, and then focus, on a few key objectives and outcomes
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GRPI Model of Team Work
What is it? A model of the elements of successful team work
Why use it? The GRPI Model of Team Work is a useful framework for:
• Identifying elements that need to be addressed by the team during its initial planning
for success
• Identifying aspects of teamwork that could be contributing to less-than-optimal
performance
Timing This tool can be used when the team is being formed or in the early stages of project
planning.
It may also be used later in the initiative, if the team’s effectiveness is low.
Steps 1. When the team is being formed, the team leader uses the tool to define the team’s
goals, roles, processes and interpersonal relationships and shares his definitions with
the team.
OR (recommended)
2. After a few team meetings, the team leader or coach reviews the model with the team
and ask team members to identify strengths and areas for improvement.
To do this, team members might:
• Use the detailed questions in the GRPI Checklist
• Have an open discussion on the elements in the GRPI Model of Team Work
• “Dot vote” or Storyboard with Post-Its
3. Team members identify the areas that need the most attention and the actions that are
needed to improve in those areas.
4. The team assigns accountability for each action.
Tips • Delaying the use of this tool until after the first few team meetings allows the team to
focus on the definition, scoping, and objectives of the initiative.
• If this tool is being used to assess the team’s effectiveness, it is helpful to use it in
conjunction with the GRPI Checklist.
• This tool can appear to too didactic for some teams if it is presented as a planning tool
—take the lead from the team leader. As an alternative, distribute the tool for review
before the meeting in which the GRPI Checklist will be used.
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Template: GRPI Model of Team Work
Instructions
1. Review the questions in the entire GRPI model.
2. Identify which GRPI elements(s) the team needs to focus on to improve its effectiveness.
3. Define the actions needed to improve in those areas.
4. Review the GRPI model periodically to monitor team performance.
G Goals
Goals Are the team’s mission and goals clear? Have all members accepted them? Are
the mission and goals aligned with the organization's desired culture and business
strategy?
R Roles and Responsibilities

Roles Are team members’ roles and responsibilities clearly described? Do team
members share a common understanding? Do the defined roles support the team
goals fully? Do the team members collectively have the capabilities, resources, and
degree of authority needed to fulfill their responsibilities?
P Process and Procedures

Processes Has the team defined processes and procedures for how members will work
together (e.g., problem solving, communication, decision making, resource
allocation)? Do these support team goals? Have they been accepted by all team
members?
I Interpersonal Relationships
Interpersonal Do productive relationships exist among team members and between team, coach
and Sponsor? Are the relationships characterized by a healthy level of trust,
openness and acceptance?
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GRPI Checklist
What is it? An assessment of team effectiveness
Why use it? The GRPI Checklist can help a team:

• Identify opportunities for improving the definition of its goals, the clarity of its roles and
responsibilities, its process effectiveness, and the way team members work together.
• Develop specific actions to improve the team’s principal deficiencies.
Timing The tool can be applied periodically throughout the team’s initiative to assess the team’s
effectiveness.
It can be used in conjunction with the GRPI Model of Team Work after the first two
team meetings.
Steps 1. Ask each team member to enter his/her ratings on the tool, following the instructions
2. For the elements with the lowest ratings
• Discuss and reach agreement on possible causes for the low rating
• Identify specific actions for improving that element of the team’s effectiveness
• Create an Action Plan, assigning responsibility for implementing each action by a
specified date.
3. Agree when the tool will be reapplied and enter the date in the Action Plan.
Tips • The first time you ask team members to use this tool, consider doing it during a meeting.
The format and approach may be less straightforward than team members may expect.
• Once its format is familiar to team members, each person can complete it between
meetings and bring it with them.
Note: (1) Not all of the elements lend themselves to being rated for effectiveness
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Template: GRPI Checklist
Instructions
Assess the team’s Clarity, Agreement, and Effectiveness on the GRPI elements by placing a “C”, A”, and “E”
in the cell that corresponds to your rating.
1. For all questions assess “Clarity” and an “Agreement”
2. For questions 5, 6, 7, 8, 9, 10, and 12 only , assess “Effectiveness”
0% 50% 100%
Purpose and Outcomes
1. We understand and agree on our project mission and the
desired outcome.
Project Scope/Definition
2. We understand and agree on what is in/out of our project
scope and tasks; the project scope is “set”.
G
Customers’ Needs
3. We know who the project stakeholders are, what they
require and why this project is really needed.
Goals and Deliverables
4. We have identified specific, measurable and prioritized
project goals and deliverables, linked to our business goals.
Roles and Responsibilities

5. We have defined and agreed on our roles and
responsibilities and on the skills and resources the project
R team needs.
Authority and Autonomy
6. Our team knows and has the degree of authority we need
to meet our project mission.
Critical Success Factors
7. We know and are focusing on the key factors needed to
meet the project goals and mission.
Plans and Activities
8. We are following an effective game plan that includes the
right tasks, clearly defined and assigned to the right people.
P
Monitoring and Measures
9. We have an effective monitoring process and specific
metrics linked to progress and goals.
Schedule and Milestones
10. We have defined our project schedule and know what the
key phases and milestones are.
Team “Operating Agreement”
11. We have shared expectations and agreed upon and follow
guidelines for how our team works together.
I
Interpersonal
12. We have the necessary relationships, trust, openness,
participation and behaviors for a productive team.
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In Frame / Out of Frame
What is it? A process for clarifying the scope of the team’s initiative.
Why use it? This tool is helpful in:

• Clarifying the scope of the initiative
• Showing the various aspects and complexities of an issue from different
perspectives
Timing This tool is best used early in the change process, to support scoping activities.
Steps After the team leader has reviewed the initiative and its objectives (e.g., the Team
Charter) with the team
1. Have team members write down potential aspects of the initiative on index cards or
Post-Its, using different colors for aspects thought to be in scope and out of scope.
2. Draw a large frame on a white board, trace one with yarn on a wall, tape together
flip chart pages, or use some other method to create a 3’ x 2’ frame.
3. Collect the cards and, for each card, read the aspect to the whole team, then place it
a. In the frame, for in-scope items
b. Outside the frame, for out-of-scope items
c. On the frame, for those items about which the team is uncertain.
4. Review and confirm the placement of the cards. The team leader will typically have
reached a conclusion but may, in some cases, need to seek the Sponsor’s guidance.
5. Lead a discussion that expands on and clarifies in-scope items.
6. If there are significant differences in perception between the team, the team leader,
and the Sponsor, these should be resolved as soon after this analysis as possible.
Tips • Team leaders should think through possible examples of what is in/out of scope ahead of
time. If the team leader has any doubts, he/she may want to talk to the Sponsor ahead of
time.
• If the coach is familiar with the issue, he/she may want to prepare the team leader by
giving him/her examples about some of the items that may be raised.
• The team leader may have to assert his/her view on what is and is not in the scope of the
initiative; team members may not all be in agreement.
• A narrow scope presents fewer challenges than a broad one. The more tightly the scope
is focused on the change initiative’s desired results, the more effectively the team’s
efforts can be channeled.
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Template: In Frame / Out of Frame
Instructions
1. Have the team brainstorm all potential aspects of the initiative’s scope (e.g. end results, deliverables,
timeframe, product lines, geographic areas, business units and teams involved).
2. Record each item on a small card or Post-it.
3. Reach agreement on whether each item is IN the frame (in-scope), OUTSIDE of the frame (out-of-
scope), or ON the frame (not certain).
4. Discuss “ON the frame” items in more detail to ensure clarity and consensus.
5. Confirm that the team, the team leader, and the Sponsor share the same understanding of the team’s
scope.
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Is / Is Not
What is it? A tool to help teams consider what issues are in the team initiative’s scope
Why use it? By using the label “issue” rather than “scope”, we can often convey different issues to
different people. This tool helps teams identify the initiative’s “boundaries” as well as the
specific issues in the team’s scope.
• It helps clarify the scope of the initiative early in the process
• It may further refine the scope
• It can help re-shape the team to ensure the team has appropriate resources and
that some areas are not over-represented
• It can speed the team’s subsequent work by helping ensure the scope is
unambiguous
Timing The Is / Is Not tool is best used early in the change initiative, to support scoping activity.
Steps 1. The team leader describes the scope of the initiative verbally. He/she may provide a
written summary to support the oral presentation.
2. Team members and the team leader then brainstorm issues that are and are not in
scope, using Post-its, or any approach that is comfortable for the team leader. They
should consider the categories (what, where, when, who, time) listed in the tool,
eliminating those that are not relevant.
3. The team leader leads a discussion to reach agreement on which issues are in- and
out-of-scope for this initiative. If, for example, Post-Its were used and posted in
brainstorming, they can be rearranged (into “in scope” “out of scope”) as each item is
reviewed.
4. The team leader assigns responsibility for documenting and distributing the results to
team members.
5. If there is a shift in the scope as a result of using this tool—even a slight shift—the
team leader should review it with the team’s Sponsor. It can be a good idea to share
the outcome of this tool with the Sponsor in any case, to confirm that the team and
the Sponsor have a shared understanding of the scope.
Tips • Change coaches should discuss the brainstorming approach to be used in advance
with the team leader. Team leaders are likely to know what approaches may be most
and least effective with team members.
• The team leader should think through possible examples of which issues are in- and
out-of-scope ahead of time. If there are any doubts, he/she may want to talk to the
Sponsor ahead of time.
• The team leader may have to assert his/her view on what is and is not in the scope of
the initiative; team members may not all be in agreement.
• A narrow scope presents fewer challenges than a broad one. The more tightly the
scope is focused on the change initiative’s desired results, the more effectively the
team’s efforts can be channeled.
25
Template: Is / Is Not
Instructions
1. Use brainstorming to generate a list of all the issues that the team will or will not be addressing in
their work.
2. Review each issue and place it in the IS or IS NOT category.
3. Establish consensus on which issues are in- and out-of-scope.
4. Confirm that the team and the Sponsor agree on the issues that are in- and out-of-scope for the
team.
IS IS NOT
What
Where
When
Who
Time
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SIPOC & Start / Stop
What is it? A way to define the scope of the initiative
Why use it? This tool helps teams identify the initiative’s “boundaries” as well as the specific issues in
the team’s scope.
• It helps clarify the scope of the initiative early in the process.
• It may further refine the scope
• It can help re-shape the team to ensure the team has appropriate resources and that
some areas are not over-represented.
• It can speed the team’s subsequent work by helping ensure the scope is unambiguous
• It can help identify stakeholders
Timing SIPOC + Start/Stop is used early in the change initiative, for the Defining the Change
Lever.
Steps 1. The team leader describes the scope of the initiative verbally. He/she may provide a
written summary to support the oral presentation.
2. The team leader leads the team in identifying
a. Five to seven high-level steps in the initiative’s process
b. Outputs and customers for each step in the process
c. Suppliers and inputs to the process
3. The team uses “Start” and “Stop” cards to identify what is in- and out-of-scope for the
team’s initiative.
4. A member of the team summarizes and distributes the conclusions, for later reference.
Tips • To help the team avoid going to an inappropriate level of detail (for the purposes of this
tool), the change coach and team leader should work together in advance to create a
possible model of the five to seven process steps.
• Using the tool as a group also helps restrain inclinations to delve into too much detail.
• Consider completing steps 2b. and 2c. by asking these questions:
• Who are the “customers” of our initiative’s process (i.e., units, functions, or
positions)?
• What do customers get as a result of each step in the process (i.e., the outputs)?
• What inputs do customers need, (i.e. the inputs) to do the work that generates the
outputs from that step?
• Who supplies those inputs (i.e., units, functions, or positions)?
• Then reach conclusions about the beginning and end of the process.
27
Template: SIPOC & Start / Stop
Instructions:
1. Start by mapping the as-is process (five to seven steps).
2. Identify outputs and customers of the process.
3. Identify suppliers and inputs to the process.
4. Use the “Start” and “Stop” cards to bound what is in/out of scope of the team’s work.
5. Use the output from this exercise as a basis for project planning (stakeholder analysis,
communications plan etc.).
SUPPLIER(S) INPUTS PROCESS OUTPUTS CUSTOMERS
NAME
START STOP
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15 Words
What is it? A process for giving a succinct verbal description of the initiative’s scope
Why use it? In casual conversation with people outside the team (often including members of the client
organization) team members are frequently called on to describe an initiative. The team
member may be asked “what’s this all about?” “what are you doing for us?”
Team members rarely have the luxury of going into detail about the scope; they must provide
a succinct response that both answers the direct question and demonstrates understanding
of, and commitment to, the initiative.
Timing This tool is first applied as early as possible in the initiative, after the scope and the Team Charter
have been defined.
It can be refined at any later point in the initiative.
Steps After defining, and confirming that team members understand, the scope, team members:
1. Define the project scope in 15 words or less on a flip chart or overhead slide.
2. Share their outcomes with the full team. One way to do this is to have team members
walk around to review others’ 15 words on flip charts.
3. Work as a group to identify the common terms and themes.
4. Highlight and clarify all “fuzzy” words by asking questions such as:
• What does it look like?
• How will we know it when we have it?
• Is _______ similar to [another phrase used by another team member pair]?
5. Either reach a consensus-based “15 Word” description as a group during the session, or
ask a team member to prepare one for review, discussion, and closure at the next team
meeting.
Tips • If the team is larger than 8 members, consider breaking the team into pairs or small groups
of no more than 4 people. Reviewing, integrating, and reaching consensus becomes
increasingly laborious and challenging the more sets of “15 Words” there are.
• Base your choice of medium and materials for writing the initial “15 Words” on the size of
the room and team. It can be more efficient if team members can walk around and review
the descriptions — hence flipcharts, if the room is big enough. If an overhead projector is
available and it is impractical to use flipchart pages, have the team members write on
transparencies.
• If the team leader is comfortable doing so, have him/her run Steps 3 and 4. If not, the coach
may do so, taking guidance from the team leader.
• Generally, it is easier to ask someone to prepare a draft “15 Word” description, after the
session, that reflects the work done by the group. However, if the group appears close to a
consensus, it could be done with the full group as a wrap-up to this tool.
29
Template: 15 Words
Instructions:
1. Work individually, in pairs, or in groups of 3 or 4 to define the project scope in 15 words or less on
a flip chart or transparency.
2. Working as a group, identify the common terms and themes.
3. Highlight and clarify all “fuzzy” words by asking “What does it look like” or “How will we know it
when we have it?” or “Is _______ similar to [another phrase used by another team member pair]?”
4. Complete the process by developing a statement of no more than 15 words that answers the
question “what’s the scope of this project”.
5. Use the statement when responding verbally to questions about the project during the initial stages
of the change initiative.
Project Definition Project Definition Project Definition
30
Change Diagnostic and Change Profile
What is it? A tool for measuring change capability and for addressing the specific challenges faced by the
change team
Why use it? This tool delivers a graphic representation of the degree to which each change Lever has
been addressed at any given point during a change initiative. Thus, the tool enables the team
to focus on those change Levers that need attention at that time.
In its initial application, the tool can be useful in:
• Assessing the overall Change capability of the organization or team
• Identifying Change strengths in the organization that can be Leveraged for change
initiatives
• Identifying Change improvement opportunities in the organization and determining
how to pursue them
• Developing an initial baseline for the team’s change capabilities
For many teams, this is an eye-opening exercise which helps them chart a new course for
the change initiative they are working on. At a minimum, the tool should provide the team
with an opportunity to confront and deal with current habits, beliefs and practices around
the cultural aspects of change.
Throughout the change initiative, the tool can be useful in:
• Identifying areas the team should focus on improving and determining how to do so
• Tracking changes in the team’s change capabilities throughout an initiative
Timing The best initial application of this tool is during the team’s start-up and introduction to
managing the change this initiative is creating.
As part of the ongoing assessment of a team’s capabilities, it should be applied at key team
milestones. Best practice is to use it at regular intervals to keep the team focused on the
Change Levers.
Steps 1. The tool offers both high-level and detailed questions for each Lever. Begin by deciding
whether it is more effective to rate each Lever by using the high-level Critical Questions to
Drive Change or by using the detailed Diagnostic Questions. You may also consider having
team members provide a rating for each Diagnostic Question as well as an overall rating
for the Lever as a whole.
2. Have each team member rate and record the appropriate questions for each of the
Levers.
3. Capture the team’s ratings for each Lever, preferably by getting consensus on the scores
for each Lever rather than by calculating a mean or median. Discuss the reasons behind
the variances between the highest and lowest rating for each Lever.
3. Plot the score for each Change Lever on the Change Profile.
4. Analyze the results, using the Questions for Analysis and Action Planning.
5. Develop a plan of action for addressing those Levers which need attention at this time.
31
Change Diagnostic and Change Profile (continued)
Tips • Although the initial assessment is typically done during a workshop or meeting,
subsequent team assessments can be done between meetings. The analysis can then be
completed before the next team meeting, leaving more time for the team to focus on
the ratings and what to do about them.
• It can be useful to keep the team’s self-assessment posted at team meetings as a
reminder of what it has to improve, both in developing and in carrying out its Action
Plan.
• Consider referring to the Change Diagnostic questions as the team builds its Action
Plan and carries out its work, to confirm that the team is “covering its bases.”
32
Template: Change Diagnostic and Change
Profile
Short Version 5 = Exceptional: We have this completely taken care of
4 = Good: We are in fine shape; this is not a concern
3 = Fair: We have made progress, but this remains a concern
2 = Problematic: We have not addressed this or have not yet
been successful in our efforts
1 = Roadblock: This is a problem; it could derail us
Lever Critical Questions to Drive Change Score
•Defining the Change • Are we clear about what the change is?
• Do we know how we are going to proceed?
•Creating a Shared • What threat or opportunity is driving this change?
• Need
• Why is this change initiative important to us, and why now?
•Developing A Shared • What will the future look like when we have successfully
• Vision implemented this change?
•Leading the Change • What must we, as leaders or team members, do to

demonstrate our commitment to this change initiative?
• How can we model the behaviors and practices that drive

change?
•Engaging & Mobilizing • What must we do to minimize resistance and build
•Stakeholders commitment?
• How can we ensure stakeholders adopt new attitudes and

behaviors?
• What are the critical messages and key communication

media?
•Creating Accountability • Do we have a robust work plan that defines roles and
responsibilities clearly?
• Do we have a process and indicators to measure results?

•Aligning Systems & • Which organizational policies, processes, systems, structures,
•Structures incentives, and rewards must we change --- and how --- to
ensure this change lasts?
•Sustaining the Change • How must we, as team members, adjust our approach and
behaviors to ensure we achieve the vision?
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Profile
Long Version
5 = Exceptional: We have this completely taken care of
Defining the Change
Generally, a Management Coach / Consultant is brought in to work with a client after the client has identified
the need for a change project.
Defining the change, therefore, means ensuring that we and the client have a shared understanding of the
overall project scope and of the scope of the work Consultant will be doing; of how results will be delivered
and through whom; and, of both the Coach / Consultant and the client’s role, authority, and responsibilities.
_____ Do we have a well-defined and agreed-on scope of work?
____ Do we have an agreed-upon timeline?

_____ Do we have clarity around the work plan?
_____ Have we identified and secured all the resources we need?
_____ Have we clearly defined the roles (e.g. business sponsor, team lead)?
_____ Do we have clear team working agreements?
34
Profile
Long Version
People in an organization have a shared need when they understand and agree on the reasons for change:
why the change is necessary, why it is necessary right now, and what threat or opportunity is driving the
change.
They can articulate a compelling case for change and describe the results that are expected.
The degree of need for change exceeds the level of resistance to it.
_______ Do we ourselves agree on why this change is important and why now?
_______ Do we feel real urgency to complete the work, solve the problem and implement the
solution?
_______ Is the need to change driven by a combination of short- and long-term threats and
opportunities?
_______ Do we have data, linked to the organization’s ability to compete, to support the need for
change?
_______ Have we assessed the consequences of not making this change, or not making it fast enough?
_______ Have we defined the benefits to the organization, units, or people?
_______ Do other key stakeholders know why this initiative is critical?
_______ Do other key stakeholders feel urgency about achieving the change in a timely fashion?
35
Profile
Long Version
People affected by a change have a shared vision when each one understands and can describe two key
aspects of the change: what is it and why it is important; and, critically, the changes it will required in their
own work, roles, attitudes, and behaviour.
Developing a shared vision involves defining, and ensuring understanding of, the future in terms of individual
actions, individual and organizational performance, and business results.
_______ Is the scope of this change initiative clearly defined?

_______ Have all key constituents agreed to the scope?
_______ Can we all describe the desired outcomes of the change in the same way?
_______ Have we defined the outcomes so that “the future” is clearly contrasted with “today”?
_______ Do we all agree that the direction of the change is right even though the final destination may
be less clear?
_______
Have we translated desired outcomes into measurable objectives, new attitudes, and new
_______ behaviors?
_______ Do we have clear timeframes for achieving results?
Do other stakeholders understand what aspects of their processes and structures will be
_______ changing, and how?
_______ Do they know how they must change their behavior to align with the change initiative?
36
Profile
Long Version
Leading the Change
Leading Change ensures that our initiative has visible, accountable, active leadership at appropriate levels in
the organisation. It is having a Sponsor who actively engages in the initiative on an on-going basis. It is having
leaders who make a commitment to communicate effectively, model change leadership behaviours, and hold
themselves and team members accountable for outcomes. Finally, it involves team members seeing
themselves as change leaders and advocates who can impact others through their own behaviours and
practices.
_______ Have senior leaders given a clear mandate for change?

_______ Do all leaders understand their role in leading this change and what actions they must take?
_______ Are the Business Sponsor and other leaders effective in drawing stakeholders’ time, focus,
and passion to this initiative?
_______ Do all leader consistently pass the “calendar test” of personal time devoted to this initiative?
_______ Do all leaders seek, receive, and use feedback to build their change leadership capability?
_______
Are all leaders able to discuss the initiative concisely, consistently, and in compelling terms?
_______
Do all leaders hold themselves and others accountable for supporting and implementing the
change?
37
Profile
Long Version
Engaging and Mobilizing Stakeholders
We engage stakeholders to secure and sustain their positive involvement in the change initiative; we
mobilize them to take supportive and enabling actions and to influence others to act. We accomplish this
in part by ensuring that stakeholders are informed of and involved in decisions that affect them and by
identifying sources of potential resistance developing plans to overcome resistance it.
_______ Have we identified all those who must support, implement, comply with, or commit to the
changes for the initiative to succeed?
_______ Have we confirmed that all stakeholders understand why the change is important, and why
now?
_______
Does each key change implementer know “what’s in it for me?”
_______
Do we know each key stakeholder’s current level of commitment, and why?
_______
Do we know which key stakeholders are resistant, how intensely, and why?
_______
Do we have a strategy for dealing with the resistance we encounter?
_______
Do we have a strategy for influencing stakeholders’ attitudes and behaviors?
_______
Have we built sufficient networks of people committed to making this change happen?
_______
Do we have a plan for clear, concise, consistent, credible, and compelling communication
with stakeholders?
_______
Have we identified potential roadblocks to change (.e.g., assumptions, policies, procedures,
“sacred cows”)?
_______
Do we have a plan for removing these roadblocks?
_______
Have we created an “event” that captures the imagination of the organization and
communicates our commitment and passion around the initiative?
38
Profile
Long Version
Being accountable means delivering on responsibilities and commitments. Being held accountable means
that there are real consequences for failure to deliver. Creating accountability requires not only a project
work plan with clearly defined accountability and authority, milestones, and indicators of achievement but
also a process for monitoring and responding appropriately to results. More, the action plan for managing
the change is as real as the action plan for delivering the technical solution that is needed for the change to
happen.
_______ Do we know what decisions must be made and by when?

_______ Have we defined responsibility for making, approving, implementing, and following through
on decisions?
_______ Do a clear set of actions flow from each decision?
_______
Do these actions address both technical and cultural changes? Will these actions get us
where we want to go?
_______
Have we secured all the resources (people, technology, facilities, funding) we need to act?
_______
Have we defined milestones to track and report progress?
_______
Have we implemented a process for capturing supporting data?
39
Profile
Long Version
Aligning systems and structures means making sure that the organization’s enabling systems, technologies,
policies, and practices (including “people” practices such as staffing, development, incentives, rewards and
recognition, performance measures, and organisational design) support and reinforce the new behaviors
and attitudes that are required to achieve and sustain the change.
_______ Have we implemented the policy changes needed to reinforce new behaviors?
_______ Have we implemented the systemic process, system, and technology changes needed to
achieve the change goals?
_______ Have we realigned the organizational structure - roles, authority and accountability, reporting
relationships, units - to support new behaviors?
_______
Have we revised incentives and rewards to motivate new behaviors?
_______
Are we measuring the results we want and the behaviors we need?
_______
Are we capturing the right indicator data?
40
Profile
Long Version
Making change stick involves applying the lessons we learn throughout the course of the change initiative to
deliver quick wins and improve performance over time. It also involves ensuring that this change initiative
is integrated with other initiatives in the organisation.
_______ Are we continually aligning our initiative with organization’s on-going strategies?
_______ Are we identifying and communicating early wins?
_______ Are we adapting our plans and actions to reflect our personal and professional learnings from
experience with this and previous change initiatives?
_______ Has each team member found ways to increase the initiative’s visibility and demonstrate
his/her personal commitment to its success?
_______
Are we continually evaluating the people resources we need and finding ways to get them on
the team?
41
Profile
Change Profile: How effective are we at Individual or Team Name
making change happen?
Date
We’re Exceptional: 5
We’re Good: 4
We’re Fair: 3
This is Problematic: 2
This is a Roadblock: 1
Creating a
Sustaining Change
Shared Need
Developing a
Mobilizing
Engaging &
Stakeholders
Aligning Systems &

Structures
Shared Vision
Leading the Change
Accountability
Change
Defining the
Creating
Change Levers
42
Profile
Change Profile: Questions for Analysis and Action Planning
1. What are our strengths? How do we leverage them?
2. What are our deficiencies? How do we eliminate / overcome them?
3. What consistencies / inconsistencies exist across respondents? Why are the perceptions of our
effectiveness different? Do we need to address these inconsistencies? How?
4. What is the single most serious threat to our success of assuring that our solution / results are
accepted and implemented? Who needs to address this threat, when, and how?
43
44
Changing Via Threat Versus Opportunity
What is it? A process to help the team create the case for change by identifying the threats or
opportunities driving the change
Why use it? A strong case for change helps teams mobilize stakeholders and address their resistance. It
helps build enthusiasm and sustain momentum when challenges arise. This tool helps the
team ground the case for change in the threats or opportunities confronting the
organization. It enables the team to build succinct messages about the rationale for the
initiative and its expected outcomes. Finally, it points to possible metrics for the initiative.
Timing This tool is used in the early stages of the change initiative, typically for the Creating a
Shared Need Lever
Steps 1. Identify the internal and external factors that represent short- and long-term threats to
the area(s) the change initiative addresses.
2. Identify internal and external factors that represent short- and long-term opportunities
in the area(s) the change initiative addresses.
3. As a team, discuss and answer the questions in the tool.
4. Incorporate necessary actions into the team’s Action Plans and the
Communication Strategy and Action Plan.
Tips • In discussing the threat and/or opportunity change drivers, consider providing examples,
related to the initiative, from other change initiatives, or personal experience.
• Contrast the consequences of the threat and opportunity examples. Note that people
often make compromises or sub-optimal decisions when they are acting under a threat.
• In advance, identify examples of change efforts in the organization that would be
considered “best practice” in change management:
• What drove the change?
• What did leadership do to encourage the change?
• What were the consequences?
• Also identify examples of change initiatives that produced less-desirable outcomes:
• What drove the change?
• What did leadership do to encourage the change?
• What were the consequences?
• Be sure to have the team be specific about how they can use the outputs of this tool in
their work.
45
Template: Changing Via Threat Versus
Opportunity
Instructions: A. Which quadrant on the matrix does
our organization/unit usually identify
1. Identify the external and internal factors that are
as the reason to change?
driving the change initiative.
____________________________
2. Use questions A – E to begin identifying how to ____________________________
frame the need for this change so that people ____________________________
really hear it. ____________________________
3. Use this information both to develop the overall B. Which quadrant best describes/fits
case for change and to stakeholder messaging how our initiative/project is viewed
that is based on their perceptions about relevant right now?
threats and/or opportunities. ____________________________
____________________________
____________________________
____________________________
C. Which quadrant would be most
beneficial to implementing our
initiative/project? Why?
____________________________
____________________________
____________________________
____________________________
Short
Term 1 3 D. Which quadrant represents “best
practice” in our organization? In other
successful organizations?
____________________________
Time ____________________________
Frame ____________________________
____________________________
E. Do we need to change the way our
initiative/ project is viewed? If so,
Long 2 4 what actions need to be taken?
Term ____________________________
____________________________
____________________________
____________________________
Threat Opportunity
46
Data, Demonstration, Demand (3Ds)
What is it? A tool to help teams create a powerful statement of the need for change
Why use it? The tool helps teams add substance to the case for change. Often teams find it difficult to
articulate the need for change in such a way that others feel motivated to participate.
The need for the change initiative is bolstered by one or more of the 3Ds
• Data refers to the degree to which internal and/or external sources of data frame the
need for change.
• Demonstration refers to the role that best practices or pilots can play in creating the
need for change.
• Demand refers to the actions/behaviors/goals, defined by senior or other leaders, that
signal the need for people to change.
This tool can help teams add the important data and facts that can bolster their cause.
Timing This tool is typically used for the Creating a Shared Need Lever. It is typically coupled
with the Changing via Threat Versus Opportunity tool.
Steps 1. Review the “need for change” information developed using the Changing via Threat
Versus Opportunity tool. Look for ways to add power and urgency to the need by
the addition of one or more of the 3Ds.
2. Conduct a preliminary stakeholder analysis. Review the current level of support from
each stakeholder. Look for ways to overcome resistance by helping them see the need
for change.
3. As a team, fill in the 3Ds matrix with known data, facts and situations. Brainstorm:
a. How do we compare to other organizations on this issue?
b. What data do we have?
c. What sources do we have to collect the data?
d. How do we compare to the best practices in a relevant industry similar to
ours?
e. What could we learn from studying another organization?
f. What suppliers or customers could provide a valuable experience?
g. What organizational accountabilities or objectives does this initiative support?
h. What are leaders doing to signal that this is a significant initiative objective?
4. Brainstorm ways to gather additional data and evidence.
5. Validate this information with stakeholders outside of the team.
6. Define specific action steps and incorporate them in the team’s Action Plan and
Communication Action Plan.
47
Data, Demonstration, Demand (3Ds) (continued)
Tips • Often teams assume that the need for change is obvious to everyone. The tool can help
“flush out” the need in a way that adds critical data to the case for change. With attention
to these aspects of the change “equation,” the team can build a case for change that will be
hard to dispute.
• A team’s tendency may be to want top executives to exhort the organization to change.
Have the team reflect on the effectiveness of that approach in the past: where it was
successful and where alternative approaches could have been even more so. The other
approaches may involve more work, but they are also likely to yield more return as well.
• Since there may be a limited number of messages an organization can tolerate on the same
topic, be sure the team hones in on the approaches that will provide the greatest value
(particularly as it may not be practical to apply several approaches, at least to the same
audiences).
48
Template: Data, Demonstration, Demand
(3Ds)
Instructions:
1. Identify sources for data that supports the need for change and the actions required to gather the data.
2. Identify best practices for leading the change.
3. Identify specific leader actions and behaviors required and obtain leader commitment and involvement.
Variety of Approaches Examples / Actions
Provide Data / Complete a Diagnosis

• Internal sources
• Cultivating external networks
• Visiting other organizations
Demonstrate the Need

• Leading by example
• Best practices
Demand Change / Improvement

• Visible, managed leadership
• High standards/expectations
49
Business Need / Vulnerability Assessment
What is it? A template for creating both a case for change and a case for managing that change
effectively
Why use it? A strong case for change helps teams mobilize stakeholders and address their resistance. It
helps build enthusiasm and sustain momentum when challenges arise.
This tool helps the team defined the effect on the organization’s values, strategy, and
business objectives of:
• Not making the changes
• Implementing the wrong solution
• Implementing the right solution at too high a cost
• Implementing an unmanaged or poorly-managed change
versus
• Implementing the right solution, successfully, at an appropriate cost
Timing This tool is typically used toward the beginning of the initiative, for the Creating a
Shared Need Lever.
Steps 1. Begin by describing the values, strategy, and performance objectives, clearly but
concisely, for the organization or organizational unit(s) most applicable to the change
initiative.
2. For each of these elements, define in turn:
a. The potential positive impacts of a successful change initiative
b. The potential negative consequences of not implementing the change at all
c. The potential negative consequences of implementing the wrong solution
d. The potential negative consequences of an unmanaged, poorly-managed, or
ineffective change implementation
5. Discuss how the output from this tool can be used to help build stakeholder
engagement. Define actions and incorporate them into the team’s Action Plan and
Communication Strategy and Communication Action Plan
Tips • Step 1 can easily bog teams down. While asking for the team’s input, change coaches
should work with the team and its leader to distill the relevant essence of the
appropriate unit’s culture/values, strategy, and objectives.
• Avoid getting into exhaustive detail in completing each cell. Get the major potential
consequences for each cell and move on to the next step. Else, you are at risk of losing
lose team members’ attention.
• Change coaches should be ready to provide suggestions about how the team can use the
output in its Action Plan and on-going work.
50
Template: Business Need / Vulnerability
Assessment
Instructions:
1. Using the template, clearly but concisely document the organization’s values, strategy, and
performance objectives. For each of these elements, define:
a. The potential positive impacts of a successful change initiative
b. The potential negative consequences of not implementing the change at all
c. The potential negative consequences of implementing the wrong solution
d. The potential negative consequences of an unmanaged, poorly-managed, or ineffective change
implementation
2. Identify the actions that need to be taken to have the desired positive impacts on Values, Strategy, and
Business Objectives.
3. Incorporate these actions into the team Action Plan and the Communication Strategy and
Communication Action Plan.
Impact If We
Impact If We Do Implement A Wrong Impact If Change
Not Change Solution, Implement Effectively
Poorly, At Too High A
Cost
Our Culture/
Values:
Our Strategy:
Our Goals/
Objectives:
51
52
Visioning Questions
What is A process and set of questions to guide the team’s discussion of what “extraordinary results”
it? would look like.
Why use Using Visioning Questions helps the team develop and articulate a vision of excellence. It
it? enables team members to:
• Focus on the positive outcomes of their efforts.
• Establish “stretch” goals
• Be specific about the improvements they would seek and identify what these will look like.
• Define metrics they and the Sponsor can use to measure their impact.
• Develop a succinct message describing why the initiative is important.
Timing Visioning Questions are best applied early in the initiative, typically for the Developing a
Shared Vision Lever.
This tool is best applied after the team has clarified their scope by using one or more of the
scoping tools (e.g., Is/Is Not, In the Frame/Out of the Frame; SIPOC + Start/Stop).
Steps 1. Ask team members to prepare their answers to the first 5 questions prior to a team
meeting.
2. As a group, discuss and consolidate individual ideas until the team reaches a consensus on
the first 5 questions.
3. Answer the question “What would make us even better than that?”.
4. Answer the next question “What else would make us even better?”.
5. Conclude with the last question “How would we explain that in 30 seconds?”.
6. Once the vision has been defined, edit it, if needed, and share it with the team’s Sponsor to
confirm the vision.
7. Connect the outputs of this tool to the overall initiative, and specifically to the team’s
Action Plan.
Tips • It can be useful for the team leader to bring examples of “best practices” from the
organization or the industry as a stimulus for defining “the best we could possibly be.”
Ideally, the best practices would be directly/indirectly relevant to the team’s initiative.
• Press for evidence and/or metrics for the specific improvements for the first four questions.
• Team members may be inhibited from identifying a “stretch” vision of excellence by their
knowledge of the barriers that would need to be overcome. Consider having team
members first identify the specific barriers. Then invited the team to assume the barriers
have been overcome and ask the question “what kinds of improvements could now be
expected?”
53
Template: Visioning Questions
Instructions:
1. Team members prepare their responses to the first 5 questions prior to the meeting.
2. As a group, the team consolidates individual ideas until there is consensus on the first 5 questions.
3. The team as a group answers the rest of the questions, starting with “What would make us even better
than that?”
4. Once the vision is defined, it is shared with the Sponsor and modified, if necessary, to reflect the
Sponsor’s input.
What is the best that we could possibly be?
What specifically do What would that How would we know

we mean by that? do for us? that we were that good?
How do we know that is good enough?
What would make us better than that?
What else would make us even better?
How would we explain that in 30 seconds?
54
Current / Future State
What is it? A template for comparing the current situation with the situation as it should be in the
future
Why use it? Current / Future State can help a team develop a common understanding of the gap or
distance between the current and the desired future state.
Timing While the tool is most commonly used for the Developing a Shared Vision Lever, it can
also be used whenever the team needs to contrast current reality with a desired future.
Steps 1. Begin by having the team identify the “scope” or topic of the discussion (e.g. the current
state of the initiative vs. the current state of the organization; or, vice versa).
2. Define a time frame or conditions for the desired future; for example, five years in the
future or when a specific goal has been attained.
3. Facilitate a team discussion that leads to the documentation of
a. The most salient aspects of the “current” situation, the things that define or
illustrate it most clearly. Include those aspects that are most likely to be affected
by the change
b. The most salient aspects of the “desired” state, including specific outcomes,
behaviors and measures of success
4. Conclude by developing the action items that result from the work and including them
in the team’s Action Plan.
5. Ask a team member to document and distribute the output, for use in developing the
Elevator Speech and other communication events.
Tips • This activity can be done, in small groups or in one large group, by recording participant
input as bullets on a white board or flip charts. If you do this work in small groups,
allow enough time for each group to report its results to the large group and reach
agreement about the details in each column.
• Alternatively, Post-its cold be used to create “story boards” or “affinity diagrams”. If
you use this approach, generate all of the possible comments and input to each column
first. Then, the organize and prioritize the comments to refine the list of current and
future state conditions.
• It is important to delimit the topic and confirm understanding of the tool’s terminology
before beginning.
55
Template: Current / Future State
Current State Future State
• •
• •
• •
• •
• •
56
Backwards Imaging
What is it? A process for envisioning a successful initiative in behavioral terms and defining what it will
take to get there
Why use it? This tool helps the team paint a word picture of the future state and the concrete steps it
will take to achieve it. It helps the team translating the initiative's goals into the new
behaviors and attitudes needed to realize them.
Often, this will be the team’s first confrontation with the realities embedded in their more
generalized statement of scope and vision.
This process can uncover unanticipated support and resistance.
Timing Backward Imaging is best used early in the change initiative, typically for the
Developing a Shared Vision Lever. This tool is best applied after the team has used one
or more of the scoping tools (such as Is/Is Not).
Steps 1. Set up the team individually or in pairs or small groups of 3 to 4 and assign the following
tasks:
a. Imagine it is some date in the future, when the initiative has been implemented
with great success.
b. Speaking from that future date, describe what you see as you observe the key
constituents functioning effectively in the new, improved state. (The key
constituents are all of the people significantly affected by the change; that this will
often include customers or other stakeholders external to the organization.)
Describe what they are doing, what they are saying whom they are doing it with
and saying it to.
c. Identify the changes, critical actions, and key decisions that it took to implement
the changes successfully. Identify the obstacles that were overcome. Highlight the
key results that were achieved, the “sacred cows” that are no longer sacred, the
quick wins that were realized.
2. When each individual, pair, or small group presents its picture to the full group, clarify
and capture the key points. Identify common themes and resolve discrepancies.
3. Discuss the actions and changes that will be needed to match the picture that the team
has painted of a successful change implementation.
4. Press the team to define what, this time, will be different between this change initiative
and a typical initiative in the unit involved.
5. Summarize the key takeaways that have implications for the team’s work. Identify
necessary actions and incorporate them in the team’s Action Plan.
Tips • Some participants may find it easier to develop a powerful picture of the future, if they
are asked to write an article for a well-regarded business journal such as, in the U.S.,
Fortune or Harvard Business Review at that future date.
Ask them to begin by taking the role of reporter and generate a set of “interview”
questions about the successful change initiative, such as:
57
Backwards Imaging (continued)
Tips 1. What was your “before” situation? In general, how are things different today?
(cont’d):
2. In particular, what are the most important things that are different today: for you, for
your staff, for the other people in the organization, for your customers and suppliers,
for your competitors?
3. As you walk around, what do you hear people saying today that they didn’t say
before this change?
4. What were the most important decisions you had to make? What were the most
difficult decisions you had to make?
5. Who were the people whose support you relied on most? Why?
6. What did you do to get and keep their support?
7. What did you keep your attention tightly focused on during the change? What were
you measuring? What are you continuing to focus on and measure today?
8. What few things did you do to make this change implementation so much more
successful that any previous change implementations?
• To conclude the backwards imaging exercise, ask for a catchy title to the article.
58
Bulls-Eye Chart
What is it? A template for identifying actions and behaviors that can help develop the attitudes and
perceptions needed for successful change implementation
Why use it? The Bulls-Eye Chart helps teams to:

• Identify behaviors that can either help or hinder the team in achieving their vision of
successful implementation.
• Explore what may underlie behaviors that detract from success—those we want
“less of”—to help think through appropriate stakeholder engagement approaches.
• Explore supportive behaviors the team could build on in developing stakeholder
engagement strategies.
• Put difficult team issues “on the table” and discuss ways to address and resolve
them.
Timing The Bulls-Eye Chart is best applied early in the change initiative, typically for the
Developing a Shared Vision Lever.
It should be used after scoping tools (such as Is/Is Not) and other vision tools (such as
Backward Imaging) have been used.
This tool is most effective when used in conjunction with the More of/Less of tool.
Steps 1. As a group, review the team’s vision of success (e.g., the output from the Backward
Imaging questions). Document it on the template.
2. Define the changes in mindset required to support the change. Identify and document
specific changes in attitudes and perceptions.
3. Using the concept “More of” and “Less of”, ask team members to define the changes in
behavior needed to influence and support changes in attitude and perception. It can be
useful for each member to write down one behavior on a Post-It and place it on
separate “More of” and “Less of” flipchart sheets. Continue until the participants run
out of ideas.
4. Review the “More of” and “Less of” lists of behavior changes and group similar items
into a single behavior or action. If the classification of an action or behavioral change
as more of or less is not self-evident, ask its author to explain his/her rationale.
5. Using the “More of” and “Less of” lists, generate a list of actions that should be built
into the Action Plan. This content is typically good input for building the Action
Plan steps required to increase the level of engagement needed for successful
implementation.
6. Document the output and incorporate actions into the team’s Action Plan.
59
Bulls-Eye Chart (continued)
Tips • Encourage the team leader to have team members work alone to come up with actions
and behavior changes in Step 3. This will prevent less dominant team members from
being overridden.
• If the leader chooses to have the team work as a group, solicit the team leader’s input
into the most effective brainstorming approach.
• In grouping similar actions and behavioral changes, do not discard any of the original items
unless the author changes his/her view and the decision to discard is unanimous.
• Leave sufficient time for Step 5 (i.e., implications for the Action Plan. This step is
important because it translates good intentions into actions that will be tracked.
60
Template: Bulls-Eye Chart / More of / Less of
Instructions:
1. Identify the mission and/or vision for the initiative.
2. Discuss the changes in attitudes and perceptions necessary to support the change.
3. Identify specific actions and behaviors that will support or detract from reinforcing those attitudes.
Defining them in terms of behaviors you want “more of” and “less of”. List them under the appropriate
section on the template.
A. Vision
•
Making A Vision Actionable
•
Mission / Vision •
B. Action and Behavior Changes

Mindset More Of
1.
2.
Actions/ 3.
Behaviors
4.
Less Of
1.
2.
3.
4.
61
Elevator Speech
What is it? A means for teams to develop a brief, consistent description of their initiative for delivery to
those interested in the focus of the team’s work
Why use it? The Elevator Speech

• Helps team members understand the initiative by having them describe it in their own
words. By hearing team members’ individual elevator speeches, the team typically
develops a better understanding of the initiative and its potential impact on the
organization.
• Provides team members with a consistent message to deliver to all interested parties.
By avoiding multiple descriptions of the team’s focus, team members may better serve
the initiative. This also helps in developing communiqués about the team’s initiative.
• Mobilizes the team members themselves in support for the initiative. People are
mobilized and take greater ownership when they speak publicly about and in support
of an issue.
Timing The Elevator Speech tool is best used early in the change initiative, typically for the
Developing a Shared Vision Lever.
This tool should be applied after the team has scoped the initiative, using one or more of
the scoping tools (such as Is/Is Not).
Steps 1. Begin by discussing the tool’s utility. Confirm that team members understand why it is
important to the success of the initiative that each one be prepared to speak briefly
about the initiative and deliver a consistent message when doing so.
2. Ask each team members, working individually, in pairs, or in groups of 3 to 4, to
develop a brief Elevator Speech that can be given in about 30 seconds and that says:
a. Here’s what our initiative is about,
b. Here’s why it is important, what needs to be changed
c. Here’s what success will look like
d. Here’s how we need your help
3. Designate a timer. Have members or groups of members read their “Elevator Speech”
out loud.
4. As each speech is read, capture the key messages in each of the four categories to help
in developing the team’s “Elevator Speech”.
5. Either facilitate consensus on a team-based “Elevator Speech” or ask a member of the
team or the team leader to develop a team-based “Elevator Speech” to be reviewed and
adopted at a subsequent meeting.
62
Elevator Speech (continued)
Tips • Consider assigning different stakeholders to individual or groups of team members so that
the “what we need from you” addresses the key stakeholders.
• There may be an advantage to assigning the Elevator Speech as “homework” to be
completed between team meetings. If the team has already developed its operating
agreements, this can be an early litmus test of how the team members will carry out
assigned accountabilities. Although this may lower the probability of task completion, it
may be better to have that occur earlier than later when lack of completion may have
more negative impact on the team.
• Although crafting a good message is important and serious, the team can have some fun in
reaching its “Elevator Speech”. Different team members can be assigned different roles
(e.g., specific stakeholder, timer/elevator operator, critic, etc.).
• In the end, a consolidated team “Elevator Speech” should be developed based on the input
from the team members. This can either be done or assigned by the team leader.
63
Template: Elevator Speech
Instructions:
1. Imagine a chance meeting with a key stakeholder in an elevator.
2. The key stakeholder says, “I heard you are working on the _____ initiative. What’s it all about?”.
3. Prepare and practice a short answer to that question that can be delivered in 30 seconds or
less.
Good elevator speeches normally provide the following information:

• Here’s what our initiative is about
• Here’s why it is important (what needs to be changed)
• Here’s what success will look like
• Here’s how we need your help
My Elevator Speech:
64
Leading the Change
65
Change Leader Assessment
What is it? An instrument that gives individuals – e.g. a Sponsor, functional manager, team leader, team
member – an opportunity to assess their own attitudes, beliefs, behaviors and practices with
respect to implementing change
Why use it? Change will not occur unless individual people, particularly leaders, exercise some degree of
personal will in themselves changing their behavior with respect to the change initiative. This
assessment allows the change leader to evaluate him or herself and identify what changes he or
she needs to make to succeed in implementing the change.
The results of this self-assessment, followed by discussion with a group of trusted colleagues or
coaches can help increase a person’s desire and will to change.
Timing This tool can be used whenever it is important to:

1. Help a leader or group of leaders understand their role in proactively leading change
2. Provide feedback to a leader who is not sufficiently supporting a change team.
Steps This self-assessment tool can be used individually or in small groups.

1. Each individual uses the instrument to conduct a self-assessment.
2. Following the self-assessment, the individual debriefs the results in discussion with a
trusted coach or team members. He/she reviews each question and identifies which
rating (Low – High) represents the most effective position for a change leader. For
example, they discuss whether it is most effective for a change leader to be more
satisfied or less satisfied “with the way things are today”.
3. The individual identifies his/her current behavior as a change leader and where he/she
needs to make changes in order to be more effective.
4. The individual creates a personal Action Plan with the help of the change coach or team
members. The plan should include dates on which it will be reviewed and revised.
Tips • As with the administration of any self-assessment, it is important to have to have an
agreement between individuals regarding:
• The purpose of the assessment
• Any expectations about how it will be administered
• What the results do and do not indicate
• How the results will be used
• To whom, if anyone, the results might be communicated
66
Template: Change Leader Assessment
Change Leader Self-Assessment
1 5
Satisfaction L H How satisfied are you with the way things
are today?
Clear Goals L H Are your goals for the change clear?
Need for Change Do you believe that there is a real need for
L H change?
Understand Long Term Impact L H Do you understand the long-term impact

the change will have on the organization?
Understand Operational Changes Do you understand what people are being

L H
asked to change about the way they
operate?
Understand People Affected L H Do you understand how many people or
groups will be affected by the change?
Understand Resources Needed L H Do you understand what resources are

needed for the change to be successful?
Willing to Commit Resources Are you willing and able to commit the
L H resources needed for the change to
succeed?
Public Conviction L H Will you publicly convey the organization’s
strong commitment to the change?
Personal Support L H Are you willing and able to meet privately

with the individuals or groups to convey
strong personal support for the change?
Use of Rewards & Pressure L H Will you use rewards and pressures to gain
support for the change?
Track Progress & Problems

L H Will you ensure that procedures to track
progress and problems are established?
Awareness of Success L H Are you aware of what really needs to

happen in order to succeed?
Willing to Make Trade-Offs L H Are you willing to make trade-offs to ensure

the success of the project?
Show Consistent Support L H Will you show consistent, sustained support

for the change?
67
Project Managers vs. Change Leaders
What is it? This tool provides both an overview of differences between what good project managers
do and what effective change leaders do and a method for identifying areas that need to be
strengthened
Why use it? Both good project management and effective change management are necessary to deliver a
change initiative successfully. This tool supports assessing the level of these capabilities in a
leader and determining which need to be strengthened.
Timing This tool is typically used for the Leading the Change Lever.
Steps 1. Review the 2 pages that contrast “what good project managers do” with “what
effective change leaders do”.
2. Using the contrasting behaviors of project managers and change leaders, plot the team
leader’s tasks/skills/behaviors on the matrix.
3. Identify the areas that need to be strengthened, those the individual or the team should
focus on.
4. Define specific actions that should be incorporated into the team’s Action Plan to
increase the likelihood of successful change management of the initiative.
Tips • Consider broadening “leaders for the initiative” to include the team as a whole and the
Sponsor.
• In assessing tasks/skills/behaviors, consider breaking the assessment into the following
categories:
a. Planning—i.e., establishing objectives/goals, creating shared need.
b. Organizing and leading—i.e., establishing/organizing team, defining what to do,
mobilizing commitment.
c. Making change happen—i.e., managing action plan and deliverables, acting on
decisions, monitoring, learning, adapting, improving performance.
• Link the three categories to the two-page contrast of good project managers and
effective change leaders. (It may also be easier to provide a rating scale: 1 for weak, 5
for strong.)
• If the team leader is uncomfortable with the team assessing his/her tasks/skills/behaviors
or believes that the team members will be uncomfortable doing so, consider
generalizing Steps 2 and 3 to the business unit’s typical project/initiative
management/leadership. Alternatively, consider assessing the behaviors of the team as a
whole.
68
Template: Project Managers vs. Change
Leaders
Instructions:
1. Using the next 2 pages, which describe the difference between project managers and change leaders,
identify the leaders for the initiative and plot them on the matrix.
2. Discuss the questions below:
• Are there patterns? Strengths? Weaknesses?
• What actions are needed by the team to strengthen successful change management of the
initiative?
Strong/
Effective
Project Management of
Change:
Tasks/Skills/Behaviors
Weak/
Ineffective
Weak/ Strong/
Ineffective Effective
Leadership of Change:
Tasks/Skills/Behaviors
69
Leaders
An Investigation of Organizations’ Successful Change
Initiatives Reveals the Critical Role of Change Leaders
What Good What Effective

Project Managers Do Change Leaders Do
• Frame and articulate a compelling and credible case for change
• State the objective of • Communicate, communicate, communicate the change vision: in

an initiative or project person, one-on-one and in groups. Use symbols, metaphors and
stories to convey the vision
• Set specific challenging (order-of-magnitude improvement) stretch

goals
• Assign responsibility • Stay involved, personally and visibly

and delegate authority
for executing tasks in • Discuss the change vision at every key meeting, in every resource
the project plan allocation decision, business review, performance review, even in
informal discussions
• Monitor and review • Recognize successes frequently, especially in public forums

progress in executing
the project plan
• Remain persistent, consistent, and always optimistic in support and
advocacy (“failure is not an option”)
• Develop a process to
• Successfully influence and persuade others to become advocates
address variances in the
implementation plan and leaders of the change
70
Leaders
An Investigation of Organizations’ Successful Change
Initiatives Reveals the Critical Role of Change Leaders
What Good What Effective

Project Managers Do Change Leaders Do
• Request and focus on potential • Alter the metrics that define success
solutions that are consistent
with desired objectives
• Hold his/her team/leaders accountable for implementing, not
just designing, solutions
• Monitor progress against plan • Reiterate the need for decisive action; make speed a top
to meet deadlines and due dates priority
• Focus on resistant sources and accurately assess the degree

of resistance
• Focus on project tasks, activities
and timetables
• Build necessary coalitions needed to effect change
• Emphasize delivering project • Emphasize altering the organization’s performance

outcomes
71
Organization / Personal Audit
What is it? A tool for assessing change management capability
Why use it? The tool helps teams assess both their own and the organization’s change management
strengths and improvement opportunities. It can then be used to guide team members in
developing a personal improvement plan for becoming a more effective change leader.
Timing It can be useful to apply this tool as an early diagnostic for the Leading the Change Lever.
Steps 1. Ask team members to work individually to

a. Create a profile for how effective they think the initiative’s leaders are in leading
change.
b. Create a profile for how well they think they themselves perform along these
leading dimensions.
2. As a group, discuss conclusions about leaders’ change management capabilities.
3. Identify typical shortcomings the team wants to avoid.
4. Identify specific actions that could compensate for perceived shortfalls in the leaders’
change management capabilities and integrate them into the Action Plan.
5. Conclude the exercise by asking each team member to develop a personal action plan for
becoming a more effective change leader him/herself.
Tips • While team members should complete Step 2 individually, the conclusions each team
member reaches under Step 1 should be discussed as a group.
72
Template: Business / Personal Audit
Instructions:
1. Create a profile for how effective you think the initiative’s leaders are in leading change.
2. Create a profile for how well you think you perform along these leading dimensions.
3. Develop a personal action plan for becoming a more effective change leader.
We’re Good: 4
We’re Fair: 3
Manage Develop Master Change Overall

Attention: Personal Processes: Overall strengths,
To what extent do Competence: To what extent have weaknesses, and
we manage time, To what extent do we mastered the evaluation
energy, passion, we demonstrate Change processes
focus, agenda? technical and (i.e., Mobilizing
interpersonal Commitment, etc.)?
competence?
73
Past Experience Profile
What is it? An instrument for identifying the organization’s past capabilities in leading change and
potential challenges to the initiative’s success that the results may imply
Why use it? It provides a structure that helps teams assess the organization’s probable change
management strengths and improvement opportunities. It is then used to guide team
members in defining the actions they will need to take to help organization leaders be more
effective in leading change.
Timing It can be useful to apply this tool as an early diagnostic for the Leading the Change Lever.
It can also be used for the Sustaining the Change Lever.
Steps 1. Determine whose past experience should be assessed. This may be a group of key
stakeholders and/or a number of stake holding groups.
2. Conduct the interviews or group sessions needed to apply the instrument.
3. Analyze the results to develop a profile of the organization’s probably change
management abilities.
4. Identify specific actions that could compensate for perceived shortfalls in leaders’ change
management capabilities and integrate them into the Action Plan.
Tips • The instrument can be an effective way to raise leaders’ awareness of the factors and
behaviors that are critical to successful change implementation. The change coach or
team leader can lead a discussion of potential problem areas and strategies for mitigating
that which cannot readily be changed (e.g., the organization’s culture does not support
risk taking or candid feedback).
74
Instrument: Past Experience Profile
Instructions:
1. Ask stakeholders to reflect on their experience with previous change initiatives and rate the degree of
consistency between their experience and the statements in the Experience profile. The more consistent the
statement is with previous experience, the higher the rating for the statement. This can be done for a
stakeholder group or for individual stakeholders.
2. Capture the ratings on the Profile.
3. Summarize the ratings by stakeholder group. Identify the areas in which poor past experience presents
potential challenges to the current change initiative.
4. Define the actions the team needs to take to address these challenges to successful implementation and add
them to the team’s Action Plan.
Less More
1 2 3 4 5 6 7 8 9 10
1 It is easy to making decisions at the right level in our organization
2 We have a good track record of identifying and resolving problems when

changes are being implemented
3 Our organization encourages risk taking during change initiatives and

welcomes creative ideas
4 During change initiatives, we have treated mistakes as opportunities for

learning what we need to do differently
5 In past change initiatives it has been made clear who has the authority and
responsibility to get things done
6 Middle managers and supervisors have been involved in planning changes

that affect them and their direct reports
7 We usually allow enough time to carry out changes in our business

processes, policies, and tools
8 Typically, consequences have been imposed when people fail to comply

with a change directive
9 Management has a history of being disciplined enough to get day-to-day

tasks done
10 Past change activities have been well monitored by managers
11 During past change initiatives, there have been incentives for complying
with change directives
12 Few people have been left feeling confused about how the changes affects
them or what they should do differently
13 Managers in our organization have encouraged people to express their

opinions about how a change affects them
Continued next page
75
Instrument: Past Experience Profile (continued)
1 2 3 4 5 6 7 8 9 10
14 We have made it a point to identify and revise policies or procedures

that weren't aligned with the change initiative
15 Past change initiatives were successful in part because different groups

worked hard at cooperating and supporting each other
16 Management has a good track record of maintaining focus on change

initiatives when other burning issues compete for attention
17 People are encouraged to become involved and committed to the

change
In past change initiatives, people have done what they believed what
18 was best for our organization rather than what they thought would
please their immediate supervisor
19 People have recognized that changes which affected one part of our
organization would likely have an impact on other areas.
20 Managers and supervisors have rarely asked others to carry out

changes directives that they themselves do not understand
21 When managers said they supported a change, their behavior

delivered the same message
22 Management has a good track record of following through with

changes after they announce a change initiative
23 People usually understand how specific change initiatives supported

the organization's overall goals and objectives
24 Committees and task forces have generally been very effective in

keeping changes on track
25 During other change initiatives, managers put aside their personal

agendas to focus on how best to achieve the change goals
26 In our organization, saying how you really feel about something is

accepted and encouraged
76
Engaging & Mobilizing Stakeholders
77
Stakeholder Analysis
What is it? A tool for identifying and describing all stakeholders in the change initiative
Why use This tool is used to identify all those whose willingness and ability to change will affect the
it? extent to which the initiative is successful.
These are the individuals and groups who must support the change initiative and/or change
their attitudes and behaviors during, or because of, the change implementation. Identifying
them and their characteristics is an essential first step in engaging them appropriately.
Timing This tool is used for the Engaging and Mobilizing Stakeholders Lever. A first draft of the
initiative’s major stakeholders is done when the change is first considered, to identify and
involve those who will participate in Defining the Change. As the initiative progresses, the
initial draft is refined until all stakeholders are identified.
Steps 1. Confirm that the team understands the definition of stakeholders:

• A stakeholder is any individual or group whose work or working relationships will be
affected by the results of the change initiative or by the process of delivering those
results
• Key Stakeholders are that subset of stakeholders most heavily impacted by the
initiative and/or whose support is most critical to its success.
2. Working as a team, generate a list of all the groups or individuals that will be affected by
the change. Consider who will:
• Define the scope of the initiative and any constraints governing its delivery
• Be asked to allocate resources
• Participate in defining needs
• Participate in developing solutions
• Be tasked with implementing solutions
• Use the solutions that are implemented
• Set and monitor adherence to the policies that govern solution application
• Define criteria for evaluating the initiative’s success
• Buy the end-products or services enabled by the solutions
3. For each group, complete and validate the template.
4. Publish the results to all members of the team. The Stakeholder Analysis outputs will be
input to many of the tools for the Engaging and Mobilizing Stakeholders Lever.
Tips • After the list of stakeholders has been generated (Step 2), consider distributing the work
of Step 3 among team members.
• Excessive granularity in identifying stakeholders should be avoided.
• Defining a stakeholder’s “role” can be confusing as a number of stakeholders will have
more than one role. For example, the Sponsor will also have an organizational role; it is
the Sponsor role that should be described.
• Ensure that team members identify both internal stakeholders, those who are part of the
organization, and external stakeholders, those who supply or use products or services,
regulate some aspect of the organization’s operation, or partner with the organization.
78
Template: Stakeholder Analysis
Instructions:
1. Generate a list of all stakeholders. Note that some stakeholders may be groups (Internal Audit) while
others may be individuals (Sponsor, CEO).
2. Use the Stakeholder Analysis template to guide your analysis and description of each stakeholder.
3. After you have completed the template, validate your analysis, with the stakeholder, with the person
to whom the stakeholder looks for direction and leadership, or with the leaders of the change
initiative.
4. Publish the analysis to the team and to the change initiative’s leadership.
Competing
Impact on Main Sponsored
Stakeholder Role Objectives Concerns Initiatives &
Success Message By
Priorities
What is the What role do What are this Given their role, What other initiatives How is this Given this To whom does
name of the they have in stakeholder’s objectives, and is this stakeholder stakeholder stakeholder’s this stakeholder
individual or the project business goals, what involved in? What is critical to the role and look for
group? OR what objectives? What concerns are they the relative priority of initiative’s probable direction and
position do are the likely to have about this initiative? success? concerns, what leadership?
they hold? stakeholder’s the initiative? messages must
personal goals? this stakeholder
hear
consistently?
79
Three Phases of Individual Transition
What is it? A tool for identifying where, in the phases of transition, a given stakeholder or stakeholder group
lies
The tool offers a model, based on William Bridges’ work on change and transition, of the
emotional states we pass through when we deal with changes in both our public and private lives
Why use it? This tool can be used to

• Build awareness of the predictable emotional states (transitions) that we undergo during
times of change
• Validate normal emotional responses to change
• Help people identify where they are on the curve of transition
• Help leaders understand current employee perspectives on a specific change
• Develop the insights needed to customize communications to specific stakeholders or
stakeholder groups, reflecting their position on the transition curve
Timing This tool is used for the Engaging and Mobilizing Stakeholders Lever.
The tool is commonly used when it is appropriate or necessary to address the emotional and
psychological aspects of change.
Steps 1. Share and explain the transition model.

• It’s not the external changes --- the events --- that are most challenging to us. More
difficult is the internal transition --- the emotional adjustment --- we undergo in adopting
new attitudes and new behaviors, adapting to new roles and new structures.
• We pass through 3, usually overlapping, phases characterized by predictable feelings,
questions, and behaviors.
• Phase 1- Endings: When things end, something is always lost, and we resist that loss.
Fears of losing control, losing power, and losing mastery are common.
• Phase 2 -Transition: This phase is typically characterized by frustration as we make the
effort to become competent in new skills, deliver results with unfamiliar systems, and
establish effective working relationships in new structures.
• Phase 3 – New Beginnings: The changes are fully implemented and people have adapted
to them successfully. The challenge of this phase is to sustain the momentum and
capitalize on the opportunities which the change presents.
• While we move predictably through each Phase, the process is iterative. For one aspect
of the change initiative, we may have made a New Beginning while concurrently dealing
with Endings on some other aspect.
• People move through the Phases at their own unique pace. Within a given group at a
given point in time, some people will be dealing primarily with Endings, others will be
experiencing the challenges of Transition, and yet others will have made significant New
Beginnings.
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Three Phases of Individual Transition (continued)
Steps 2. After explaining the model, post the Transition chart on a wall.
3. Ask participants to indicate (e.g., with a Post-it or a drawing pin) where they think they
are on this continuum right now.
4. Ask them what they need to help move forward to the next Phase. Discuss what actions
the leader and other members of the team might take to facilitate that.
5. Ask the team to identify where on the continuum each stakeholder lies. Discuss the
implications for stakeholder engagement and mobilization. Use the results in developing
or refining strategies for stakeholder engagement and mobilization.
Tips • This tool can help teams identify the probable causes of resistance in stakeholders. Map
key stakeholders and stakeholder groups on the chart. Discuss probable losses and how
they might be compensated. Identify potential or current frustrations and how they can
be mitigated or minimized. Develop a plan for capitalizing on the energy of the New
Beginnings phase.
• For more information, see William Bridges’ book entitled Managing Transitions: Making
the Most of Change. Also related is Elizabeth Kubler-Ross’s work on death and dying.
81
Model: Three Phases of Individual Transition
1. ENDINGS 3. NEW BEGINNINGS
Denial
Enthusiasm
Anxiety
Trust
Shock
Excitement
Confusion
Relief
Sadness
Hope or Skepticism
Annoyance or anger
Acceptance
Fear
Impatience
Frustration
Creative Tension
Cynicism
Curiosity
2.TRANSITION
Adjustment - Exploration – Learning
82
Stakeholder Position
What is it? A framework for identifying the actions needed to secure stakeholder commitment and
ensure stakeholder capability
Why use it? The Stakeholder Analysis helps the team identify critical gaps in stakeholder support and
develop a plan for closing those gaps.
Timing This tool is used for the Engaging and Mobilizing Stakeholders Lever, after the
initiative has been scoped and tools for making the vision actionable (e.g., More of/Less of,
Bulls-Eye Chart) have been applied.
Steps 1. Confirm that team members understand the definitions of “stakeholder” and “key
stakeholder
2. List the key stakeholders in approximate descending order of impact on the successful
implementation of the team’s changes. This step can be done ahead of time if the Key
Constituents Map has been completed and used to identify key individual
stakeholders.
3. For each stakeholder, determine his/her likely position regarding the proposed changes;
i.e., whether they are likely to be very positive (++), positive (+), negative (-), or very
negative (--). Draw an X to note their current position.
4. For each stakeholder, identify the degree of support needed to enable successful
implementation of desired changes—draw an O to note the needed position—and
draw an arrow connecting the X and O for each stakeholder.
5. Discuss and note the actions that are likely to be required to shift key stakeholders’
positions. These actions should be integrated into the team’s Action Plan.
Tips • This tool is most powerful when used to gain insight into individual stakeholders.
• Encourage the team not to get too distracted by the incremental ratings—they are
meant only as a rough approximation of a position (i.e., whether a key stakeholder is
negative or very negative is less important than where they need to be and how the
team plans on moving them there).
• Determine which stakeholders are likely to influence the position of other
stakeholders. For example, if a business unit’s executive committee is a key
stakeholder group, their position may sway other stakeholders that are subordinate in
the organizational hierarchy—not by asserting hierarchical control, but by helping
persuade reluctant stakeholders.
• Based on the above tip, identify the logical order/sequence (if any) of actions for
shifting key stakeholders’ positions.
83
Template: Stakeholder Position
Instructions:
1. Generate a list of all stakeholders. Identify Key Stakeholders.
2. Identify your perception of their current position regarding the initiative.
3. Draw an arrow to the position each stakeholder needs to be in for the change initiative to be
successful.
4. Identify actions required to move each key stakeholders to that position.
Stakeholders’ Position on the Initiative
Probable Reasons for Current Position

- +
Key Stakeholders - - + + Actions Required to Change Position
84
Key Constituents Map
What is it? A framework for identifying the units/functions/teams affected by the initiative and classifying
them by the degree to which each one
• Will be most affected in terms of numbers of people
• Will be impacted by the team’s implemented changes
• Will be likely to resist the team’s changes to be implemented
Why use The Key Constituents Map helps teams

it?
• Identify the groups most important to the successful implementation of the change
• Surface and resolve different points of view regarding impact, resistance, and
numbers affected by the changes
• Identify the actions (or develop a plan for identifying them) needed to overcome
likely resistance from constituent groups
• Identify the actions needed to engage “allies” to help in overcoming resistance
• Determine where the team should direct most or least effort in their Action Plan
for building engagement
Timing This tool is used for the Engaging and Mobilizing Stakeholders Lever, after the initiative
has been scoped and tools for making the vision actionable (e.g., More of/Less of, Bulls-Eye
Chart) have been applied.
Steps 1. Work as a team to identify key constituent groups (those groups who are most affected
by the initiative and/or whose support is most critical to its success).
2. Prioritize which unit/function/team:
a. Will feel the biggest impact on its work/operations by the initiative
b. Is expected to be the most resistant to the change
c. Has the greatest number of people affected by the change
3. The group can initially classify the constituents as high, medium, low, or none for the
three criteria—impact, resistance, number affected. If it is useful, the team can assign
percentages to each constituent group as in a traditional pie chart.
4. It is useful to take the data from this tool and apply the Influencing Strategies tool to
determine how these results should be used in planning the team’s work (for the Action
Plan) and communicating with different parts of the organization (Communication
Strategy).
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Key Constituents Map (continued)
Tips • Use this tool when the stakeholders need to be considered in groups rather than as
individuals.
• Work as a full team to Identify the key constituents.
• Since the “number affected” may be the most objective of the three criteria, begin by
mapping the number affected. Then classify the constituents into high, medium, low, or
none affected. If it is useful, the group can reach approximate percentages.
• Divide the team into an even number of groups (e.g., if the team has 8 to 12 members, divide
the team in half) and assign “impact” to one (or more) group(s) and “resistance” to the
other group(s). Follow Step 2 above.
• Have the sub-teams report their conclusions and rationale back to the full group.
• As a full team, discuss how the results of this analysis should be used in planning the team’s
work (Step 3 above).
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Template: Key Constituents Map
Instructions:
1. Prioritize which team/group’s work/operations will be most impacted by the initiative.
2. Prioritize which team/group has the most number of people affected by the change.
3. Prioritize which team/group is expected to be most resistant of the change.
4. Use the output of this tool as input into communication planning.
Impact Number Affected Resistance
___ ___ ___ ___ ___ ___
___ ___ ___

___ ___ ___
87
Building an A.R.M.I.
What is it? An instrument for identifying stakeholders and their role in a change initiative
Why use it? This tool provides a framework for identifying stakeholders and their roles in relationship to
the team and at different phases of the initiative.
It supports the development of the actions needed for stakeholder engagement.
Timing This tool is typically used for the Engaging and Mobilizing Stakeholders Lever.
Steps 1. List all the key stakeholders in the first column of the table (see the Stakeholder
Analysis template for a definition).
2. Use the following initials to record their role in the initiative under the appropriate
phase of the project
A Approval of team decisions outside of the team’s charter or authority (e.g., the
initiative’s Sponsor, or a business leader)
R Resource to the team whose information, expertise, skill, position, and/or

“clout” may be needed on ad hoc basis
M Member of the team, with authorities and boundaries defined in the team’s
charter
I Interested party that should be kept informed of findings and direction of the
team if later support is expected/needed
3. Use the output of the tool to:
a. Determine actions needed for the success of the initiative, including timing and
responsibility.
b. Integrate key actions into the Action Plan (and if appropriate, the
Communication Strategy and Communication Action Plan)
Tips • To define stakeholders, determine what positions, functions, units, committees will be
critical to the successful implementation of the team’s solutions/steps. It’s worthwhile
examining whether a stakeholder is critical to its success, so the team isn’t distracted
with unnecessary work.
• The A.R.M.I. tool is used to define the actions the team needs to take and when, to
engage the stakeholder appropriately.
• Avoid getting too involved in identifying role by phase if that will not have a material
effect on a key action.
88
Template: Building an A.R.M.I.
Instructions:
A Stakeholder is any individual or group who will be affected by the results of the change initiative or by the
process of delivering those results. Key Stakeholders are the subset of individuals or groups who are
most heavily impacted by the initiative and/or whose support is most critical to its success.
1. List all key stakeholders.
2. Use the A, R, M, or I code to define the stakeholder’s potential role in the project, by change
initiative phase.
A = Approval of decisions outside the team’s authority (e.g., Sponsor, Business Leader).
R = Resource to the team, one whose information, expertise, skill, “clout” may be needed on an
ad hoc basis.
M = Member of team, operating within the authorities and boundaries of the team charter.
I = Interested party, someone who will need to be kept informed on direction, findings, if later
support is to be forthcoming.
3. Define the actions the team needs to take to engage the stakeholder appropriately. Incorporate them
into the Action Plan.
Change Initiative Phase
Implementing the Sustaining Change

Stakeholders Initiating the Change Change Momentum
89
Force-Field Analysis
What is it? A process that helps teams identify potential barriers to and enablers of successful change
implementation
Why use it? Force-Field Analysis helps teams identify

• Barriers or obstacles that must be overcome or managed
• Organizational factors that can help the team implement the change initiative.
• Actions that will remove, minimize, or mitigate obstacles to successful implementation
This tool also has broader applications. For example, it can be used to examine why the
team is not making more or better progress, or why the team is not meeting its
commitments, etc.
Timing Force-Field Analysis is a good tool to use in identifying key steps for an Action Plan.
While this tool is most often used for the Engaging and Mobilizing Stakeholders
Lever, it can also be used for the Defining the Change lever after the Change
Diagnostic has been applied.
Steps 1. Narrow the focus of the Force-Field Analysis to a specific topic; for example, “What
is preventing us from being more effective in communicating with our stakeholders?” Ensure
that all team members are addressing the same issue.
2. Individually, in small groups, or as a full team, identify specific factors (i.e., processes,
systems, organization structures, metrics, capability, responsibilities/accountabilities,
etc.) that currently or potentially
a. Help in the successful implementation of the team’s changes
b. Hinder the successful implementation of the team’s changes
3. Prioritize or sequence hindering factors in terms of their impact on the initiative’s
success. Some factors are likely to be eliminated entirely or be less potent if other
factors are addressed.
4. For each high-priority hindering factor, identify helping factors that can offset it.
5. Identify the actions needed to overcome barriers to, and leverage enablers of,
successful change implementation.
Tips • If team members’ assertiveness varies significantly, assign the first cut to small groups
and then bring the team together to develop the final Force Field Analysis output.
• Because it is typically easier to identify hindering factors than helping factors, ask the
team to begin by identifying helping factors. Continue with hindering factors only when
all helping factors have been exhausted. Consider suggesting some helping factors to
get the team started, e.g.,, “the executive committee believes it is important enough of an
issue to have assigned all of us to work on it”.
• Allow enough time to do a thorough job. If factors are not clearly and accurately
defined, the resulting actions will not be specific enough to add as tasks to the Action
Plan.
90
Template: Force-Field Analysis
Instructions:
1. Identify specific factors (i.e., processes, systems, organization structures, metrics, capability,
responsibilities/accountabilities, etc.) that currently or potentially:
a. Help in the successful implementation of the team’s changes
b. Hinder the successful implementation of the team’s changes
2. Prioritize or sequence hindering factors in terms of their impact on the initiative’s success. For each
high-priority hindering factor, identify helping factors that can offset it
3. Identify the actions needed to overcome barriers to, and leverage enablers of, successful change
implementation.
4. Add the tasks to the team’s Action Plan.
Current Hindering
Helping
State
Desired
State
Desired Direction of Movement
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Attitude Charting
What is it? A tool for identifying potential or probably innovators, early adopters, late adopters, or
resisters to the changes
Why use it? The tool helps teams plan for implementing the changes being introduced by “planning for
the middle” (i.e., early and late adopters) rather than directing a disproportionate share of
their energies and efforts towards resisters.
Timing This tool is typically applied for the Engaging and Mobilizing Stakeholders Lever.
Steps 1. Determine which stakeholders (i.e., those that will impact the success of implementation
efforts) are likely to be resisters.
2. Identify which stakeholders, in addition to team members, are likely to be innovators
(i.e., those that help develop the changes that will be implemented).
3. Divide the remaining stakeholders into the two remaining categories—early and late
adopters.
4. Develop strategies for engaging
a. Early and late adopters – concentrate with these, since these are likely to be the
most numerous; the team may be able to leverage them to affect the resisters
b. Innovators – determine whether and how it’s appropriate to involve them in
implementing and/or “selling” the changes to key groups
c. Resisters – determine whether any additional efforts should be made to move
resisters to at least a neutral or late adopter position
5. Integrate outputs into Action Plan, and, if appropriate, the Communication
Strategy and Communication Action Plan.
Tips • First identifying the two ends of the attitude bell curve may make it easier to classify the
two middle groups (i.e., early and late adopters).
• After developing strategies for engaging the early and late adopters, determine whether
these reduce the need for separate approaches for the other two classifications.
• Refer to the Data, Demonstration, Demand (3 D’s) tool to develop ideas for
various engagement strategies.
92
Template: Attitude Charting
Percentage of
Population
Innovators Early Adopters Late Adopters Resisters
93
Technical-Political-Cultural Analysis
What is it? A tool to help teams plan for overcoming expected resistance to the changes they will be
implementing
Why use it? This tool is useful in

• Identifying likely causes of resistance teams may face
• Determining the sources and relative magnitude of the expected resistance
• Planning strategies for overcoming the expected resistance
Timing This tool is typically used for the Engaging and Mobilizing Stakeholders Lever.
Steps 1. Identify and discuss 3 or 4 examples of resistance to change that team members have
experienced in other change initiatives.
2. Review the tool and classify the examples by the three typical sources — technical,
political, and cultural.
3. Determine the types of resistance team members are likely to encounter in
implementing their changes, asking for examples.
a. Start with a general discussion with the full group
b. Then, individually or in pairs or small groups (depending on the number of team
members present), identify additional examples of expected resistance
c. As a full group, reach agreement as to the most likely examples of resistance
4. Allocate 100 points across either the sources or the examples of expected resistance,
with points representing the relative magnitude of resistance to changes (how much,
how often the resistance is likely to be encountered).
5. Develop “influence strategies” for the sources/examples of resistance that received the
most points. Incorporate these influence strategies into the team’s Action Plan (and if
appropriate, its Communications Strategy and Communication Action Plan).
Tips • Think through the differentiation of the different sources of resistance (i.e., technical,
political, cultural). If you have a clear idea of the differences among the three sources of
resistance, it will facilitate the application of this tool.
• If the differentiation is difficult for team members to grasp, let it go and focus on
identifying the most likely resistance and to decide how to influence it. Do not get side-
tracked on classifying examples of resistance.
• To help categorize the types of resistance team members have experienced in the past
(Step 1, above), it can be helpful to probe:
• Where is the resistance is likely to come from?
• What’s behind the likely resistance (i.e., what’s the source or cause of resistance)?
• Two tools that help teams develop influence strategies are Changing via Threat
Versus Opportunity and Data, Demonstration, Demand (3 D’s).
94
Template: Technical-Political-Cultural
Analysis
Sources of Definition / Examples of Rating Influence

Resistance Causes of Resistance Examples (l) Strategy
Technical Aligning and Structuring
Organization
◼ Habit and inertia
◼ Difficulty in learning new skills
◼ Sunk costs
◼ Lack of skills
◼ Other (specify)
Political Allocating Power and
Resources
◼ Threats to old guard from new
guard
◼ Relationships
◼ Power and authority imbalance
or self-preservation
◼ Other (specify)
Cultural Articulating the Glue or
Cultural Norms
◼ Selective perception
◼ Locked into old “mindset”
◼ Afraid of letting go
◼ Other (specify)
Note: (1) Rating — divide 100 points by how often this type of resistance exists in your business
95
Influencing Strategies
What is it? A tool to help build effective strategies for influencing the key stakeholders to strengthen,
or at a minimum, maintain their level of support
Why use it? Once the team knows who the key stakeholders are, the more difficult task of figuring out a
strategy to win their support begins. The team must determine what each stakeholder’s
issues and concerns are, what would be a “win” for the stakeholder, who can best influence
each stakeholder, and how are they best influenced.
This simple planning tool can help the team assess the issues and concerns of each
stakeholder who must be moved to a higher level of support for the project, and identify a
strategy for doing so.
Taking time to talk through the issues and concerns important to each key stakeholder, and
validating this with the individual involved is time consuming but critical to the formulation
of a strategy for influence. In this instance, an issue is something the stakeholder feels
strongly about regardless of the change initiative. Each stakeholder will have one or more
concerns regarding the change initiative itself.
Timing This tool is used for the Engaging and Mobilizing Stakeholders Lever. It is typically
used after the Stakeholder Analysis, when key stakeholders are known and their
positions regarding the initiative have been discussed.
Steps 1. List the key stakeholders who need to be influenced. Remember that even if someone is
already moderately or strongly supporting, they will have issues or concerns that need
to be addressed by the team.
2. Discuss each stakeholder’s issues and concerns and agree on a method for validating
these perceptions.
3. Identify “wins” for each stakeholder (e.g., “continue to play a key role in organizational
decision making”).
4. Consider a number of aspects of influencing which may not have been addressed before
a. What is this person's “style”? (e.g., are they a statistical person, most likely to be
swayed by detailed data?)
b. What history needs to be taken into account as we talk to this individual? (Have
they had bad experiences with initiatives? Does he/she have an issue with the
Sponsor or any of the team members that might make it difficult to support the
initiative?)
c. Is there a part of the change initiative that, if we could give it to the person, would
guarantee their support?
5. Update the team’s Action Plan with action assignments to ensure that the influencing
strategies are implemented.
Tips • Give careful thought to who will have most impact on the individual stakeholder, what
the nature of the message is that needs to be delivered, and how and when the
influencing actions should begin.
96
Template: Influencing Strategies
Instructions:
1. List the key stakeholders who need to be influenced.
2. Identify both general issues and concerns with the initiative for each stakeholder.
3. Identify “wins” for each stakeholder from the change initiative.
4. Develop an overall strategy for influencing the stakeholder, taking into account the stakeholder’s style,
previous history with change initiatives, positive or negative relationships with other stakeholders, etc.
5. Identify who needs to take what action and when to execute the influencing strategy. Add these actions
to the team’s Action Plan.
Stakeholder Issues/Concerns “Wins” Influence Strategy
97
Communication Strategy
What is it? A framework to help teams think through how to use different communication approaches
to deliver specific messages
Why use it? The Communications Strategy helps teams use communications effectively to support
successful change implementation, by identifying audience, content, and delivery media for
key messages about the change initiative.
Timing This tool is used for the Engaging and Mobilizing Stakeholders Lever. It should be
applied at a high level early in the change imitative, as soon as goals, scope, and stakeholders
have been identified and confirmed.
Steps 1. Identify the main messages for the initiative, or for each major Phase/Stage of the
initiative. Messages can come from Is/Is Not, 15 Words, Current State/Future
State, Threat vs. Opportunities, etc.
2. Determine how to frame each message to accomplish the relevant objective(s).
3. Define the communication channels/media that are most appropriate for delivering the
message(s).
4. Combine the output from this tool and from the Stakeholder Analysis to create a
Communication Action Plan, customized to each audience.
Tips • Whenever others outside the immediate team need to be informed, persuaded, or
involved, use the Communication Strategy framework to determine the best
approach.
• Guard against using too many symbolic events or their value and impact will diminish.
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Template: Communication Strategy
Instructions:
1. Identify the key messages for the initiative.
2. Determine how to frame each message to achieve the different communication objectives.
3. Decide which channel is most appropriate to deliver each message.
4. Combine the output from this tool with your Stakeholder Analysis to build a Communication
Action Plan.
Communication Objective and Activities

Communication Required To:
Communication
Content:
Channel Change
Key Messages Empower/
Inform Opinions/
Involve
Perceptions
Written
• Inexpensive
• Consistency
Verbal: One-to-Many
• Builds credibility, if
authentic
• Efficient
Verbal: One-to-One
• Persuasive (if
authentic)
• Time-consuming
Symbolic (Events)
• Dramatic impact
• Demonstrates real
priorities, values, goals
99
Communication Action Plan
What is it? A detailed plan, customized to each audience, that identifies the who, what, why, how, and
when of stakeholder communications
Why use it? The Communication Action Plan provides a explicit structure and plan for informing,
engaging, and involving stakeholders, and for changing their perceptions about the change,
throughout the course of the initiative.
Timing This tool is used for the Engaging and Mobilizing Stakeholders Lever. An initial
version should be developed early in the change imitative, as soon as goals, scope, and
stakeholders have been identified and confirmed.
Steps 1. Identify the initiative’s stakeholders and group them into unique audiences.
2. Identify the audience and content of the messages that should be communicated.
3. For each audience, answer the what/why/how/when questions.
4. Identify necessary communication activities and milestones and incorporate them in the
schedule of activities defined in the team’s Action Plan (alternatively, develop and
manage a stand-alone schedule of communication events).
Tips • Whenever stakeholders outside the immediate team need to be informed, persuaded,
or involved, use the Communication Action Plan framework to determine the
best approach.
• Consider:
a. The audience for the message
b. How the message may differ somewhat for different audiences; distinct groups
may have different concerns/issues. If team members are not sure of the likely
concerns of a given audience, they should find that out before crafting the
message
c. The objective of the message and the most relevant channel. Again, this may
differ by audience. For example, it may be important to persuade one group using
a one-to-many presentation/discussion, but simply inform a different group using
a written channel
100
Template: Communication Action Plan
Instructions:
1. Identify all stakeholders and place them in groups of distinct and unique audiences. Some key
stakeholders may be in a group of their own (.e.g., the Sponsor, or the CEO).
2. For each audience, answer the What/Why/How/When questions.
3. Incorporate the necessary communication activities/milestones defined here into the schedule of tasks
in the team’s Action Plan. Alternatively, create a stand-alone schedule of communication events.
Who? What? Why? How? When?

• Audience with • Content of the • Purpose, desired • Delivery • Schedule or
whom the team is communication: outcome of the channels timeframe for the
communicating the message and communication: • Person(s) communication
the information what the developing /
being shared audience is sending / signing
meant to the
do/think communication
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Communication Template for “External”
Communications
What is it? A tool to help team design the content of specific communication items or design a
specific communication event
Why use it? This tool gives teams a template that guides their thinking in developing a specific
communication event. It also provides a framework for evaluating and improving existing
communication events (e.g. status updates, briefing documents).
Timing While this tool is typically used for the Engaging and Mobilizing Stakeholders Lever,
high priority or critical communications should be singled out for immediate evaluation
and possible reengineering.
Note that the templates should be viewed as “living” documents that will be continuously
updated and improved as communications are delivered to various stakeholders.
Steps 1. For each communication event, define the following

a. Who the communication is going to; the specific audience
b. How often it should be delivered
c. The best medium for delivering the content
d. How important the communication is to the success of the change initiative
e. The process for collecting feedback on the communication
f. What follow up is needed
2. Incorporate any actions needed to collect feedback or follow up into the team’s
Action Plan (or the communication event schedule, if one exists).
Tips • The team leader or team members may have a communication template they prefer
to use
102
Template for “External” Communications
What do we Who is the Why is this What is Frequency Communication Feedback

want to audience? communication the / Trigger Process and Follow-
communicate? important? Medium Event up Action
103
Communication Event Planning Template
What is it? A tool to help teams assure the quality of a communication event.
Why use it? This tool guides the team in developing specific communication “events” (a planned
communication between one or more team members and the stakeholders, or between
stakeholders).
It provides both a template and a checklist for assuring the quality of the event.
Timing While this tool is typically used for the Engaging and Mobilizing Stakeholders Lever,
high priority or critical communications should be singled out for immediate evaluation and
possible reengineering.
Steps 1. For each communication event, use the template to define:

a. Objectives for the event
b. Audience(s)
c. Desired or expected outcomes
d. Necessary content
e. Anticipated impacts
f. Appropriate sponsor(s)
g. Delivery medium
h. Feedback process
2. Use the output to craft and deliver the communication.
Tips • Team leader or team members may have a communication template they prefer to use
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Template: Communication Event Planning
EVENT NAME ◼ What is the name of this Event?

◼ What is the reason for the Event?
OBJECTIVE
◼ What is the overall goal?
◼ Who is in the audience? To whom is this Event directed?

AUDIENCE
◼ Are there different audiences from whom we want different things?
◼ What are audience members supposed to do at the close of the Event? What specific
action(s) do we want them to take?
OUCTOMES
◼ What are they supposed to be thinking at the close of the Event? Are we trying to
change their thinking with this Event?
◼ What do they need to know, to change what they are thinking?

CONTENT ◼ From whom do they need to hear the message, to change what they are thinking
◼ What do they need to know, to take the action we want them to take?
◼ What questions is this Event likely to raise?
◼ What answers will we give? Who should be giving those answers?
IMPACT ◼ What response or reaction should we anticipate?
◼ What could we do, pro-actively, to minimize negative responses?
◼ What could we do, pro-actively, to increase commitment?
◼ Who is the legitimate source of factual information?
◼ Who is the legitimate source of requests for action?
SPONSORS
◼ Who is most likely to influence their thinking?
◼ Who should “sign” this Event?
◼ What medium will be most effective?
• Are required actions time sensitive? Is there urgency?
MEDIUM • Does the audience need to understand a large body of information?
• Is the information so complex that it needs to be explained with voice-over?
• Are real-time opportunities for questions and/or feedback critical?
◼ What feedback is needed for this event? What do we need to know so that we can
take action ourselves?
FEEDBACK
◼ How will we capture this feedback?
◼ What will we do with it?
105
106
Impact Mapping
What is it? A tool for identifying the expected impact of process changes on the organization
Why use it? Understanding the impact of process changes on the organization helps to
• Scope and prioritize organizational change activities
• Organize and plan appropriate resources depending on the scope of impact
• Collect relevant information on changes as input into communication strategy for
stakeholders, project team, and all impacted audiences (employees, customers, suppliers)
• Ensure the right people have a basic understanding of the magnitude of the proposed
changes
Timing This tool is used for the Creating Accountability Lever. It is used when the impact of
process changes are known prior to implementation.
Steps 1. Gather information on process changes and populate the template.

2. Facilitate a meeting with team members to gather the data on:
a. Key changes
b. Degree of change
c. Impact of that change
d. Audiences impacted
e. Risk if this change is not implemented well
f. Whether the changes require training or new competencies
g. Communication implications
3. Once it is completed, circulate the document to relevant stakeholders for confirmation.
4. Implement required training, communications, or other events to support the process
changes.
Tips • This tool works well as a facilitated exercise where group members can discuss and agree
upon impacts. Often, the discussion results in clarity or consensus that may not have
otherwise come about for the project team.
• If possible, have the excel spreadsheet displayed on a screen in the conference room with an
expert typist inputting data as you go. Managing this amount of data on flipcharts can be
challenging.
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Change management/
communication
impacts
Requires new
competency?
Requires
training?
Risks
(if not done well)
Audience impacted
Template: Impact Mapping
(employee, customer,
supplier groups)
Impact of change
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Degree of change
(H, M, L)
Key changes: start
doing,
Focus of this Map:
stop doing,
do differently
Business process or
functional area changes
30, 60, 90 Day Review
What is it? A framework for evaluating team progress and effectiveness
Why use it? Through periodic evaluations of its progress, the team can identify weaknesses and barriers
to progress and take the actions needed to increase its effectiveness.
Timing This tool is used monthly after the initial Action Plan has been developed, typically for
the Creating Accountability Lever.
Steps 1. Have each team member answer the questions in the tool in preparation for a team
discussion.
2. As a group, discuss the answers to the questions and capture:
a. Lessons learned
b. Specifics about what the team should do differently to improve its
effectiveness
c. The team’s ratings on the Change Profile.
3. Compare results to the baseline profile and any profiles that have been captured since,
and discuss what needs to be improved and how it should be improved.
4. Use change tools such as Force-Field Analysis to define actions for improvement.
5. Integrate actions into the team’s Action Plan.
Tips • The following tools are useful for certain conditions

• Force-Field Analysis
• Allows the team to examine why its progress has not been as fast as it would
like or expected. The value of this tool is enhanced if the team asks which of
the factors are under the control/influence of the team.
• More of/Less of
• Can be focused on team behaviors if the team is not working together
effectively together, to develop more productive behaviors
• In applying the 30,60, 90 Day Review tool, ensure that goals and objectives are
translated into specific actions or deliverables, with accountability and timing defined.
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Template: 30, 60, 90 Day Review
Instructions:
1. Have team members answer these questions prior to the meeting.
2. As a group, discuss these issues and capture lessons learned and opportunities for greater effectiveness.
3. Incorporate “more of” and “less of” actions and behaviors into the team’s Operating Agreement
and Action Plan, as appropriate.
I. Action Review III. Change Review
• What went fast? • What is our assessment of our progress on

each of the Change model components?
• What made it go fast?
• Compare our current to our baseline
• What comes next
Change Diagnostic.
— To go further?
• What are the reasons for any change?
— To preserve what we have? Implications for project success?
• What went slowly?
• What slowed us down?
• What comes next
— To speed up?
— To change direction?
II. Learning Review IV. Action Planning Review
• About ourselves • Progress relative to our plan?
— Strengths? ― What milestones did we meet/miss?
— Weaknesses? • Action planning revisions?
• About our team — Are we integrating across functions/

projects?
— Strengths?
— Weaknesses?
• About others
— Strengths?
— Weaknesses?
• About our goals?
• About our plans?
• About our results?
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RACI
What is it? A tool for clearly defining and designating roles, responsibilities, and authority among
stakeholders
RACI Roles
(R) Responsible (“The doer”): The individual or group responsible for completing/
implementing the task at hand. Responsibility may be shared, as determined by the team.
(A) Accountable (“The buck stops here”): The individual with yes/no authority and veto
power that is ultimately accountable. Only one “A” should be assigned to a function.
(C) Consulted (“In the loop”): The individual(s) and/or group(s) to be consulted prior to a
final decision or action. This usually requires two-way communication.
(I) Informed (“In the picture”): The individual(s) and/or group(s) that should be informed
after decisions are made and actions are taken. This often requires two-way
communication.
Why use it? RACI can help teams to

▪ Design or re-design processes for making key decisions
▪ Clarify overlapping, redundant, “bottle-necked,” or inconsistent responsibilities
▪ Structure and distribute responsibility and authority
▪ Establish clear lines of communication and eliminate misunderstandings
▪ Reduce duplication of effort
Timing Typically, this tool is used for the Creating Accountability Lever.
Although it may be useful to have identified stakeholders prior to applying RACI, it is not
necessary. RACI can be applied anytime it is useful to either analyze, design, or re-design
responsibilities and authorities.
Steps 1. Clarify the key decisions or process steps that are being analyzed or designed. List
these in the left-hand column of the RACI Analysis Chart.
2. Identify the stakeholders, positions, and/or groups involved in the decision or process
being analyzed. List these as column headings in the RACI Chart. Identifying
stakeholder positions or groups may be more effective than naming specific individuals.
3. Complete each cell of the RACI Chart by designating which stakeholders should be
responsible (R), accountable (A), consulted (C), and informed (I) for each decision or
process step.
Guidelines for designating roles:
a. Designate a single point of Accountability (A) for each decision or step. The “A”
should be assigned to a position, not to person or committee holding that
position.
b. Assign responsibility (R) at the level closest to the action or knowledge required
for the task. Verify that any shared responsibilities are appropriate and feasible.
c. Ensure that appropriate positions/individuals are Consulted (C) and Informed (I),
but limit these roles to necessary involvement only. These players must be
notified of any changes that impact their responsibilities.
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RACI (continued)
Tips • RACI is a useful complement to a process map, since it can get into more detailed
responsibilities than the typical process map. Think of a process map at one level of
abstraction and RACI as the next level of detail.
• If a process or key decision is being re-designed or improved, RACI can be very useful in
identifying specific improvement areas.
• In analyzing, designing, or re-designing a process, consider the benefits of pushing
responsibilities down (i.e., increasing the level of responsibility of a “C” to that of an “R”,
and an “R” to an “A”, if an “A” is needed at all). This can often speed a process or
decision.
• Authority must accompany accountability.
• Eliminate unnecessary “checkers checking checkers” by designating only essential “C”s and
“I”s.
• 100% accuracy is not always required; roles may evolve as a process takes shape.
• Document and communicate all roles and responsibilities to appropriate stakeholders.
• Be sure that RACI analysis involves the individuals that are most familiar and directly
involved with a process or decision. This reduces the risk of omissions or inaccuracies.
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Template: RACI
Instructions: Guidelines:
1. Identify and list key decisions or process steps • Only one “A” allowed per decision/step.
(vertically).
• Place responsibility close to the action.
2. Identify and list all stakeholders, positions, and
• Review instances of shared responsibility.
groups involved (horizontally).
• Consider increasing level of responsibility of
3. Complete the matrix by designating R/A/C/I
“C”s and “I”s to speed decision-making.
roles as appropriate.
Follow-up:
1. Review the RACI chart vertically to:
a. Avoid under- or over-committing stakeholders
b. Eliminate unnecessary gates and bottlenecks
c. Designate appropriate skill sets for assignments
2. Review the RACI chart horizontally to:
a. Clarify any ambiguous division of labor
b. Ensure adequate continuity across decisions and process steps
c. Ensure accountability and authority to get the job done
3. RACI analysis may be followed by a more detailed description of each stakeholder’s role and duties
Sample RACI Matrix

R — Responsible (The doer)
A — Accountable (Buck stops here)(1)
C — Consulted (In the loop) Stakeholders/Positions/Groups
I — Informed (In the picture)
Stakeholder Stakeholder
Key Decisions or Process Steps Stakeholder #1 Stakeholder #2
#3 #4
• Decision/Step #1
Note: (1) Only one “A” per decision or process step
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Manager Readiness Scorecard
What is it? A tool for capturing what is expected of line management during a change initiative
Why use it? The tool helps clarify expectations about the actions that must be taken to ensure a successful
change, who will take them, and when they will occur.
It is typically used when the change initiative is delivering new business processes, tools, or
systems.
Timing The Manager Readiness Scorecard is used for the Creating Accountability Lever. Most
commonly, the tool is used just prior to the implementation of a complex change that impacts a
broad swath of the organization.
Steps 1. Define the specific accountabilities that managers and other leaders have in getting their
staff and their units ready for a change in business practice.
2. Publish the scorecard to the appropriate audience and discuss the issues the manager
identifies.
3. Develop a set of actions to address change readiness issues.
Tips Customize the header columns of the scorecard and the status as needed to fit the specific
change initiative.
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Template: Manager Readiness Scorecard
Manager’s Name: Date:
Who is
Manager responsible Manager
Details Timeframe Status
Accountabilities for driving Comments
this task?
❑ On Track
❑ Complete
❑ Delayed
❑ Issues to
Resolve
❑ On Track
❑ Complete
❑ Delayed
❑ Issues to
Resolve
❑ On Track
❑ Complete
❑ Delayed
❑ Issues to
Resolve
❑ On Track
❑ Complete
❑ Delayed
❑ Issues to
Resolve
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Action Plan
What is it? A template and process for developing and updating a clear roadmap of the steps the team
must take to implement its solution, or the change initiative as a whole, successfully
Why use it? The Action Plan helps teams

• Define “technical” steps required to implement a solution
• Specify steps to build needed “engagement” for successful implementation
• Determine people and additional resources required for successful implementation
• Develop a clear roadmap to allow teams to track their progress
• Serve as a “living document” that is updated and modified as needed
Timing While a preliminary Action Plan should be defined when applying the Defining the
Change Lever, this tool is commonly defined in details for the Creating Accountability
Lever.
It is updated with actions that are defined when any Lever is addressed.
Steps 1. Complete sections A (Project Title, Description, and Scope) and B

(Objectives/Outcomes) based on outputs from prior analyses or use of change tools.
2. To complete section C (Actions)
a. Define “technical” steps needed to develop and/or implement the team’s
solution(s). A step should be a specific, observable action that can be tracked by
the team for completion (see “Tips” below)
b. Develop additional steps required to build the engagement steps needed to
increase the likelihood of successful implementation—use outputs from other
Change tools
c. Determine who should be accountable for each step (i.e., the most appropriate
person on the team) and the required timing of each step in order to meet the
team’s objectives.
3. Complete sections D (Additional Resources Required) and E (Concerns/Issues/Potential
Blocks to Successful Implementation) using the outputs of the team’s analyses and/or
other Change tools.
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Action Plan (continued)
Tips • Developing specific, observable, actionable steps is critical for the successful implementation
of an action plan. It helps to break down the team’s work into manageable pieces, share the
work load, and ensure timely delivery.
• There are three common pitfalls to avoid. A common pitfall is defining action steps that are:
• Defining objectives or goals, rather than concrete, measurable actions needed to
achieve the objective/goal. For example, “Identify and remove roadblocks on previous
activities that impact T releases.” is a goal. It is the steps needed to identify and
remove the roadblock that should be defined for timing, responsibility assignment, and
tracking.
• Defining issues, rather than steps needed to address an issue. For example, “Timing
of SORs is not reliable enough.” By noting the steps needed to correct the issue, the
team can agree on the most appropriate approach and can then track its progress.
• Defining action steps or tasks at too general or too high a level, with no detailed steps
noted. For example, “Reinforce A3310 PPS Quality Tools definition.” By noting the
steps that should be taken to reinforce the quality tools, the team can agree on the
specific actions, timing, and responsibilities. Leaving the “step” at a too-high level
makes tracking difficult.
• Distribute accountabilities. Accountabilities for completing steps or groups of steps should
be shared among team members. Confining too many accountabilities among too few
people can slow a team’s progress and result in missed completion dates. In most cases,
accountabilities for completing a step should be confined to team members. Team members
may delegate work, but the team member remains accountable for completing the step.
• Ensure sufficient engagement of the right people. Change teams worldwide have noted that
the “Achilles heel” in implementing change is the lack of appropriate engagement of those
who can impact a particular change. The Action Plan allows a team to integrate the
engagement steps needed—who will be involved when, by whom, and how—for successful
implementation.
• Track progress regularly. All team members should be made responsible for
communicating with team leaders successful step completion, issues regarding step
completion, and proposed plans for addressing an issue regarding completion.
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Template: Action Plan
A. Project Title, Description, and Scope:
B. Objectives/Outcomes:
List specific objectives, noting measures and targeted outcomes and timing.
Objective Measure Outcome Timing
1.
2.
3.
4.
etc.
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Template: Action Plan (continued)
C. Actions:
Each action should be a specific, actionable, observable step that can be tracked by the team.
Step Person Completion Status

Accountable Date
1.
2.
3.
4.
etc.
D. Additional Resources Required:

Note any additional resources required by the team (e.g., people, funding), their proposed source and the
team’s rationale.
E. Concerns/Issues/Potential Blocks to Successful Implementation:

Note any issues outside of the team’s direct control or potential to influence that may impede success.
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120
Project Impact on Systems and Structure
What is it? A diagnostic to identify the organizational systems and structures that will be affected by the
implementation of the changes as well as those whose current state will help or hinder the
initiative’s successful implementation
Why use it? This tool enables teams to identify, and develop a strategy for changing, those systems and
structures that will need to change to be in alignment with the initiative’s desired outcomes.
Timing This tool is used for the Aligning Systems & Structures Lever.
Steps Tool Application A: Helping or Hindering

1. Ask each team member, working individually, to identify those systems and structures
components which, in their current state, will help or hinder the successful
implementation of the changes.
2. Plot the magnitude of the hindrance or help on the chart, using different colors or lines
to distinguish help or hindrance.
3. For high impact components that the team can control, identify the steps the team must
take to change or counteract the hindering aspect of the component.
4. For high impact components that the team cannot control, identify the stakeholder(s)
that need to be involved to counteract the hindering aspect of the component.
Tool Application B: Impact on Systems and Structures
1. Ask each team member, working individually, to identify those systems and structures
components which need to be changed to be aligned with the change initiative’s desired
outcomes.
2. Plot the magnitude of the necessary changes.
3. For those components that the team can control, identify the changes and the actions
the team must take to implement the changes.
4. For those components that the team cannot control, identify the stakeholder(s) whose
support is required to make the necessary changes.
Tips • This tool is a good preliminary diagnostic for the Aligning Systems & Structures
Lever. It can indicate, for example, the extent to which measurement and rewards may
be areas to be further explored.
• Combine the tool Circles of Control and Influence with Step 2.
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Template: Project Impact on Systems and
Structure
Instructions:
1. Identify and plot
A. The extent to which the current state of each component will help or hinder the successful
implementation of the changes
OR
B. The extent to which each component will need to be changed to align with the desired outcomes of
the change initiative.
2. Identify the stakeholders who need to support necessary changes or mitigate hindrances.
3. Identify action steps and incorporate them into the team’s Action Plan.
High
Medium
Impact
Low
0
Staffing Development Measures Rewards Comms. Designing Orgs. Technology
Components of Changing How We Manage
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Circles of Control and Influence
What is it? A framework for examining the systems and structures which teams can or cannot control
or influence
Why use it? This tool helps teams determine where to apply their change efforts. It helps them
identify the systems and structures they can change and which realities they must live with
and accommodate.
Timing The tool is used for the Aligning Systems and Structures Lever. It is used effectively
in conjunction with the Project Impact on Systems and Structures tool.
Steps 1. Review the system and structure components identified in the Project Impact On
Systems and Structures tool before beginning.
2. As a team, reach consensus on the aspects of each system and structure that the team
a. Can control
b. Can influence
c. Can neither control nor influence
3. Plot conclusions in the appropriate area of the tool.
4. For each aspect over which the team has no control and/or which the team can only
influence, identify any issues or barriers that might hinder the team’s successful
implementation.
5. Identify the stakeholder(s) who need to be involved and develop a strategy for
persuading them to help the team in addressing the issue.
6. Identify concrete actions and incorporate them into the Action Plan.
Tips • The stakeholders you identify may be different from those identified in the Key
Constituents Map and Stakeholder Analysis because you have more detail about
the issues.
• While the team should be realistic in assessing what they can and cannot control or
can only influence, they should also not be too guarded or conservative.
123
Template: Circles of Control and Influence
Instructions:
1. Brainstorm and agree on the aspects of each system and structure that your team can control, can
influence, or can neither control nor influence.
2. Plot the results on the chart, in the appropriate area.
3. For each aspect over which you have “no control” and which you can only “influence”, identify the
stakeholder(s) you need to involve and plan how to get them on board.
No Control and No Influence
Control
Influence
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7-S Model
What is it? A tool for introducing the organizational elements impacted by a large scale change
Why use it? There are seven elements of an organization, and large scale change typically impacts all
seven. Organizations that are successful in responding to change address each element.
The 7-S Model provides a useful framework for reviewing the impact of change across the
organization by:
• Highlighting how changes in one part of an organization affect the rest of the
organization; if one of the seven elements changes, it will affect all the others
• Providing direction about areas to address when implementing a change
• Helping to evaluate the feasibility of change processes
• Highlighting the importance of linking a strategy to a variety of implementation
activities across the organization
• Highlighting gaps or weaknesses in a change strategy by providing a full system view
Timing The 7-S Model is used for the Aligning Systems & Structures Lever. It is best used
throughout the planning stages of a large scale change, when leaders/project teams need to
think through the impact of a change across the organization
Steps 1. Clearly define the change process/strategy.

2. Communicate the shared values and the need for change.
a. Identify and reinforce organizational values and beliefs driving the change.
b. Obtain input and agreement on the change vision.
3. Develop the strategy to implement the change vision. Define the action plan required
to attain this vision.
4. Modify the systems to support the change as needed. Address systems such as IS,
rewards, compensation, etc.
5. Ensure staff is informed and supportive of the change vision.
a. Identify who will be involved/impacted by the change.
b. Develop policies/standards regarding recruitment, appraisal, training and
development, and motivation.
6. Define the management style. Define the management approach required to support
the change (i.e., self-management versus task management).
7. Ensure the structure is consistent with the change vision. Modify how people and
resources are organized to meet the change goals.
8. Define the skills required among employees to support the change. Establish an
appropriate learning environment to support the attainment of these skills.
Tips • The change vision needs to be clearly articulated and understood from the beginning.
• While project teams will tend to naturally address the strategy and structure elements,
they need to be reminded to address the “softer” elements such as shared values, skills,
staff, style, and systems. These “softer” elements are just as important as strategy and
structure.
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Illustration: 7-S Model
Seven Elements of an Organization
Structure
Strategy Systems
Shared
Values
Skills Style
Staff
126
Template: 7-S Model
Instructions
1. Clearly define the change process/strategy.
2. Identify key issues that may arise due to the change for:
• Shared values
• Strategy
• Structure
• Staff
• Skills
• Systems
• Style
Organizational Key
Key Issues to Address Timing
Elements Owner
Shared Vision
Strategy
Structure
Staff
Skills
Systems
Style
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5S Realignment Template
What is it? A tool for diagnosing or identifying organizational changes that may be required to support a
change initiative
Why use it? The 5S Realignment tool helps teams identify any gaps between current and needed
aspects of:
• Structure/accountability
• Systems/processes
• Skills/staff
• Spirit/culture
Timing This tool is used for the Aligning Systems & Structures Lever.
Steps 1. Note the goals/desired outcomes of the team’s initiative in the Strategy box of the tool.
2. Write the “case for change” for the team—i.e., why we need to make the change.
3. Complete the table for the remaining 4 Ss for the Now, Future, Changes Required
columns.
4. Rank the 4 Ss according to:
a. Importance to the successful implementation of the initiative; and then
b. Risks attached to closing the gap between now and the future
5. Complete the actions/numbers changed column as a group.
6. Integrate outputs from Step 5 into the Action Plan.
Tips • This can be a useful first tool to use in venturing into the Aligning Systems &
Structures Lever since it identifies and prioritizes the need for organizational changes.
• Use the output of Visioning Questions or Backward Imaging for Step 1.
• Distill the “case for change” from the Creating a Shared Need tools that have been
applied (e.g., Changing via threat or Opportunity; Business Need/Vulnerability
Assessment; or Data, Demonstration, Demand).
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5S Realignment Template (continued)
Instructions:
1. Write down the strategic direction or outcomes/goals that the change initiative must achieve.
2. Write down the case for change for the people involved (Why do we need to do this? WIIFM? -
“What’s In It For Me”).
3. Complete the table with information on the Now, Future and the Changes Required.
4. Rank the four Ss according to the risks attached to closing the gap between now and the future.
5. Complete the actions/numbers changed column with the initiative project team.
6. Use the information in this column to build the implementation plan.
Actions/
Changes Metrics to be
4 Ss Now Future Required Tracked
Structure/
Accountability
Strategy
Systems/
Processes
Skills/
Staff
Case for
Change Spirit/
Culture
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Measurement / Reward Cycle
What is it? A tool used to assess the measures that an organization/unit emphasizes
Why use it? The Measurement/Reward Cycle can be useful to a team because it provides a
framework for
• Examining the effects of current measures on behavior and how they may affect the
initiative’s success
• Identifying the effects of alternative measures or emphases on behavior and how they
may affect the initiative’s success
Timing This is tool is used for the Aligning Systems and Structures Lever.
Steps 1. Begin by examining the measures/reward that affect an initiative, starting with What
Counts Gets Measured and moving through the cycle clockwise.
For example, for an initiative focused on increasing quality in the vehicle design
process (illustration):
a. What Counts Gets Measured: cost control and timely milestone completion
b. What Gets Measured Gets Done:
i. Reducing supplier costs, without considering overall costs of below-
standard quality
ii. Reaching milestones on time, at the risk of proceeding with known quality
issues
c. What Gets Done Gets Rewarded:
i. Negotiating lower supplier costs, even at the risk or incurring larger
subsequent warranty costs.
ii. Attaining green status at each milestone, despite the risk of subsequent
customer dissatisfaction with quality and the risk of higher warranty costs
i. What Gets Rewarded Counts: this illustrative measurement/reward cycle
reinforces potentially counterproductive behavior and decisions.
2. Next identify measures that would reinforce the behaviors that would potentially
improve the ability to successfully address the initiative’s issues.
For example, using the preventing quality issues in the vehicle design process
illustration above, the team could answer the following questions to identify better
measures:
a. What Counts Gets Measured:
i. What behaviors/decisions/actions/results do we want to count?
ii. How would they be measured?
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Measurement / Reward Cycle (continued)
Steps, b. What Gets Measured Gets Done:

Continued: i. What are the possible/likely consequences of what people will strive for or focus
on for alternative measures that better reinforce the desired outcomes?
ii. How practical is it to change the measures? How and to what positions/units
would the measures be applied?
c. What Gets Done Gets Rewarded:
i. How can the desired behaviors/outcomes (i.e., outcomes from the adjusted
measures) be rewarded/recognized?
ii. How can different recognition/rewards reinforce outcomes/focuses from
improved measures?
d. What Gets Rewarded Counts:
i. How are the adjustments in measures/rewards likely to change the “what
counts” focus?
ii. How will this support the success of the initiative?
3. Determine what additional analyses and steps are needed to support any useful results of
this analysis (i.e., if the team believes that an adjustment of the measurement/reward cycle
has significant potential impact on their issue, what additional data needs to be developed
and what additional steps need to be completed to seek approval for proposed changes?).
4. Incorporate these analyses and steps into the Action Plan.
Tips • It is typically useful for change coaches to work with the team leader to develop or
provide a pertinent example to walk the team through Steps 1 and 2 before the meeting
in which the tool is applied.
• As a warm up to this tool, consider applying the Force-Field Analysis for measures that
pertain to measures/rewards that impact the team’s initiative.
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Template: Measurement/Reward Cycle
Instructions:
1. Start with “What Counts Gets Measured” and work your way around the circle of questions
clockwise by identifying what should be measured/done/rewarded in order to succeed.
2. Answer the questions a second time with what is currently being measured/done/rewarded.
3. Identify gaps and discuss consequences of mis-aligned incentives and the positive impact of re-aligned
incentives.
What Counts
Gets Measured:
What Gets
What Gets Measured, Gets Done:
Rewarded, Counts:
What Gets Done

Gets Rewarded:
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Measurement Audit
What is it? A framework for assessing a unit’s metrics and identify improvement opportunities
Why use it? The Measurement Audit can help a team

• Examine the extent to which current metrics are likely to support or interfere with the
team’s successful implementation of needed changes
• Identify metrics that can be obstacles to successful implementation of their changes
• Determine whether there are key metrics that are not measured that may inhibit
successful implementation
Timing The Measurement Audit can be used for either the Sustaining the Change Lever or
the Aligning Systems & Structures Lever. Since it is not highly dependent on the
outputs of other change tools, it can be applied as a part of an Action Plan’s assessment of
implementation challenges.
Steps 1. Begin with the most familiar columns, which are usually the Organization Priorities and
Operations Objectives columns. Address one column at a time, starting with the most
familiar.
a. Identify the predominant current metrics—i.e., those that are most discussed by
top leaders, most communicated, and used for key measures and rewards (e.g.,
performance reviews, incentives).
b. Note the targets/goals of the most predominant measures—e.g., if market share is a
predominant Business Priority metric, note the level of market share that is
targeted and communicated.
c. Note actual results—i.e., for each predominant metric and target/goal, identify the
recent history regarding the extent to which the target have been achieved.
d. Explain the team’s view for the result obtained, and any key learning—e.g., if there
has been consistent success with a given metric, is it because of the constant follow
through, the priority placed by top executives, the resources dedicated to it? If we
have constantly under-performed in a given metric, is it because we don’t emphasize
particular measures or targets, or is it because there are no consistent resources
dedicated to it?
e. Determine any needed metrics—i.e., if there are critical omissions or the wrong
choice of a metric that will impede or inhibit the successful implementation of the
team’s changes, what additional or replacement metrics would help the team’s
success?
2. Discuss the most effective approaches for making any adjustments that the team believes
are critical for the successful implementation of their changes. Begin by assessing what
adjustments (if any) are needed to positively impact the team’s success, and for those
adjustments that are critical, determine what steps are needed to make the necessary
adjustments.
133
Measurement Audit (continued)
Tips • Some teams find the completion of the Cultural Priorities column a challenge. Since some
key changes may be needed as a result of analyzing this factor, consider these ideas.
• Identify a priority that top management (of the unit) talks about that is not strictly a
Business Priority or an Operations Objective. For example, one unit’s head
consistently talks about pleasing the customer—he would describe this as a mindset
that is needed throughout the unit that is critical to the unit’s success.
• Probe the team with questions regarding either this illustrative Cultural Priority—
pleasing the customer—or choose another which is directly applicable to the unit or
the team’s initiative. For example:
• Do we have any metrics that capture the extent to which we are pleasing the
customer? How direct a measure are they, or is the result captured only
indirectly? How predominant is it, or is it used sporadically and only by some or
at specific events?
• Do we establish improvement targets? To whom and how are they
communicated?
• How have we done? Why?
• What could be different if this cultural priority was emphasized as much as some
of our business priorities or operations objectives? Is that realistic?
• Is it worthwhile measuring? How would it be measured? How would it be
communicated? What benefits might we get from doing so?
• For any measurement adjustments that the team believes are critical to the successful
implementation of their changes, be sure to integrate steps for achieving those adjustments
into the Action Plan, with specific timing and assigned accountabilities; otherwise they will
just be more ideas that aren’t made actionable.
134
Template: Measurement Audit
Instructions:
1. Identify current metrics against the Cultural Priorities, Business Priorities, and other Operational
Objectives that the initiative will support and that will help you measure the initiative’s impact.
2. Discuss the current performance and key success factors.
3. Identify additional metrics needed to track/reinforce the initiative/change.
Our Cultural Our Business

Priorities: Values, Priorities: Share, Our Operations
Assumptions, Customers, Objectives: Safety,
Mindset, Mission, Investments, Processes, Speed,
Leadership Style Returns, Quality, Cost,
and Capabilities, Competitive Margin, etc.
etc. Advantages, etc.
Our Current
Metrics (What we
actually measure, not
what we say counts)
Our Targets/ Goals
Our Actual Results
Our Explanation
for Results/Key
Learning
Our Needed
Metrics (What we
should measure)
135
136
Tracking Progress Checklist
What is it? A framework for evaluating team progress and effectiveness
Why use it? The tool helps the team assess the support they are getting for implementing the change
initiative. The tool helps the team systematically
• Review successes
• Identify the level of commitment and resources they are receiving
Timing This tool can be applied at regular intervals (e.g., monthly after the initial Action Plan has
been developed). It is typically applied for the Sustaining the Change Lever.
Steps 1. Have team members answer the questions noted in the tool in preparation for a team
discussion.
2. Discuss each question, spending more time on those where there are issues (e.g., if rating
used, those items rated 1 or 2).
3. Determine what action steps should be taken to address any issues identified.
4. Define accountability and timing for each step and integrate it into the Action Plan.
Tips • Review both the 30, 60, and 90 Day Review and this tool to choose the one that is
more appropriate. Since this tool focuses more on the support/commitment the team is
receiving, it may not be useful if the main challenges the team faces lie within the team and
its work.
• This tool can be a useful framework for a team leader to use in a discussion with the
Sponsor.
• To avoid confusion, choose whether to have team members simply check the relevant
boxes or use the suggested rating scale before assigning the tool to team members.
137
Template: Tracking Progress Checklist
Instructions:
1. Check the box if the activity was completed, or use a simple scale such as 3 = a great deal, 2 =
to some extent, 1 = a little.
2. Ask the questions: What are our vulnerabilities to sustaining change? What actions should we
take now?
• Early successes • Resources

❑ Were early successes obtained? ❑ Have new resource needs been identified in a
timely fashion?
❑ Were they communicated to other
functions and locations? ❑ Do resource allocation decisions reinforce the
initiative’s priority?
❑ Were they built into the project plan?
❑ Has timing of new resource allocation been
❑ Were they linked to larger, longer- linked to the implementation plan needs?
term outcomes?
• Integration with other initiatives

• Commitment
❑ Are the efforts on behalf of the initiative well-
❑ Was there continued, visible, integrated with other, relevant organizational
impactful Sponsorship? initiatives?
❑ Was there a continuing sense of ❑ Is there a systemic effort to communicate the
energy and excitement (e.g., the relatedness of the project to other ongoing
business continued to let everybody initiatives?
know that the project was important)?
❑ Is adequate attention paid to the impacted
❑ Was sufficient funding continued? consequences of the initiative on the
❑ Was sufficient time commitment organization’s management processes:
sustained? staffing, development, rewards,
measurements, resource allocation,
❑ Were appropriate deadlines honored; technology, communications and structure?
was the completion date arbitrarily
advanced?
❑ Were people prematurely diverted to • Learning from experience
other work? ❑ Did “downstream” initiative activities reflect
and benefit from key learnings gained early
on?
• Excitement
❑ Were project learnings and best practices
❑ Does the team demonstrate shared widely throughout the organization?
excitement and enthusiasm?
❑ Have the team members grown, as a result of
❑ Does the Sponsor maintain a high their experience, in the capacity to act as
level of personal enthusiasm? leaders of speed/change?
❑ Is the excitement broadly ❑ Is it likely that another initiative launched by
communicated through words and this team would be successful?
action?
138
Change via the Change Profile
(See Change Diagnostic and Change Profile tool)
We’re Good: 4
We’re Fair: 3
Accountability
Engaging & Mobilizing
Stakeholders
Creating
Aligning Systems
& Structures
Change
Sustaining the
Change
Leading the
Shared Vision
Developing a
Creating a
Shared Need
Change
Defining the
Issue / Process: __________________________________
Date: _____________
139
Maintaining Focus, Pressure and Energy
What is it? There is no one tool or check list that ensure the important change you have been working
to implement will be sustained. The best assurance for sustaining your outcomes will come
from implementing the engagement plans that you’ve developed by working through this
change model. Using the Change Diagnostic and Change Profile tools will help you
track your progress towards sustainability.
Here are two templates you can use to help track sustainability themes and criteria.
Why use it? It helps to keep up the momentum necessary to enable and sustain the change the team has
undertaken.
Timing Have change leaders and team member review these templates and answer these questions
throughout the implementation of their change initiatives.
Steps & Tips 1. Set your change teams and initiatives up for success by paying attention to all the work
associated with Defining the Change. Make sure the change has specific goals,
measurable outcomes when your are Defining the Change. It is difficult to sustain a
change when the change itself is unclear.
2. Introduce the concept of sustainability early in development of the initiative when you
conduct the Change Diagnostic and create a Change Profile. Sustainability is not
an “after thought”. It is an intentional outcome.
3. Each time you conduct the Change Diagnostic and adjust the Change Profile,
revisit these sustainability criteria and questions.
140
Template:
Keeping Up the Pressure and Energy
Early
Successes
Learning
From Commitment
Experience
Keeping
Up the
Pressure
& Energy
Integration Excitement
Ongoing
Evaluation
141
Sustainability Criteria and Questions
The more questions you are able to answer “yes” to, the greater your chances that your change will be
sustained over time.
1. ____ Is this a “must-do” change rather than just a “nice to-do” change?
2. ____ Does this change relate to quality of life and organizational priorities?
3. ____ Does this change yield a significant, measurable payoff?
4. ____ Does this change bring together resources from multiple functions with multiple perspectives?
5. ____ Does this change meet a need that is felt by many people in the organization?
6. ____ Does this change get a critical mass of the organization’s people involved?
7. ____ Does this change both make an organizational impact and offer individuals an opportunity for
personal transformation?
142

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What are some of the challenges organizations face during change?

What are some of the challenges organizations face during change?

What tools does this toolkit provide to address change management challenges?

What tools does this toolkit provide to address change management challenges?

Sourcebook

Change Management Toolkit

Enhance your coaching and counseling skills!

Among the challenges the organization faces are:

Defining the Change

Creating a Shared Need

Developing a Shared Vision

Leading the Change

Engaging & Mobilizing Stakeholders

Aligning Systems & Structures

Initiative / Issue: Project leader:

Background and Overview Information

Identifying the Scope of Change Work

To What Extent Would This Project Enable High Medium Low

Improved change management?

Personal development of those involved?

Organizational learnings on implementing accelerated change?

Cultural change and engagement opportunities?

Identifying the Change Team(s)

• What do you think this team’s biggest challenge will be?

• How much time will it take to implement this change?

Identifying the Sponsor’s Role / Contracting with the Sponsor

• What role do you see yourself playing on this initiative?

• Is this issue/project, as it is, an appropriate change YES NO UNCLEAR

What Needs to be Done? Who Will Do This? By When?

• What are your next steps for moving forward?

Project Definition and Scope

• What resources are available to this team?

• Why is this work important?

• What are the consequences of not doing this work?

• How does it fit with other business initiatives and goals?

• What specific goals must the project meet?

• What specific goals must this team meet?

• For each goal, what milestones are critical?

• How will they be measured?

• When must they be met?

Project Team Roles

• What is project team leader’s role?

• What role(s) do the team members have?

• How do the team members want to work with their Sponsor?

• How will they communicate with and report to their Sponsor?

Why use it? The tool provides a structured way to

Team Member’s Current Degree of Proficiency:

What is it? An illustration of operating agreement topics and content

• We will all participate more or less equally over time

R Roles and Responsibilities

P Process and Procedures

What is it? An assessment of team effectiveness

Why use it? The GRPI Checklist can help a team:

Roles and Responsibilities

Why use it? This tool is helpful in:

What is it? A way to define the scope of the initiative

SUPPLIER(S) INPUTS PROCESS OUTPUTS CUSTOMERS

Project Definition Project Definition Project Definition

Lever Critical Questions to Drive Change Score

•Leading the Change • What must we, as leaders or team members, do to