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This document was developed to assist a local government create a change management plan to upgrade processes and systems within their organization and to improve the efficiency of standard business ...

This document was developed to assist a local government create a change management plan to upgrade processes and systems within their organization and to improve the efficiency of standard business practices.

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Change Management Strategy Change Management Strategy Document Transcript

  • Northeast Ohio Regional Sewer District Geographic Information System Program Change Management Strategy March, 2002
  • Table of Contents Section 1: Introduction.......................................................................................................................................iii 1.1Background.....................................................................................................................................iii 1.2 Purpose and Audience....................................................................................................................iv 1.3 The NEORSD Change Management Approach.............................................................................iv 1.4 Definitions.......................................................................................................................................v 1.5 Principles Guiding Change Management in the GIS Program.....................................................vii Relationships, Roles and Responsibilities in the GIS Program........................................................................1 2.1 Overall GIS Implementation Structure............................................................................................1 2.2 Recommended District Structure....................................................................................................2 2.2.1 Steering Committee..................................................................................................................2 2.2.2 Project Implementation Teams ...............................................................................................3 2.3 Change Management Roles and Responsibilities............................................................................4 2.3.1Program Level...........................................................................................................................4 Section III.............................................................................................................................................................6 Strategies for the Change Management Processes............................................................................................6 3.1 Transition Strategy..........................................................................................................................6 3.1.1 Transition Activities.................................................................................................................6 3.1.2 Transition Activities at the Program Level..............................................................................8 3.2 Communications Strategy.............................................................................................................10 3.2.1 Communications Approach....................................................................................................10 Communications Objectives. Communications objectives are clear, concise statements of desired outcomes to be achieved as a result of the communications efforts. These objectives should be aligned with, and support the vision, goals and business objectives of the GIS program. Specifically, as a result of Program Office communications efforts, Program-level audiences should understand:...........................................................................................................................11 3.2.2 Audiences, Messages, and Vehicles: The Who, What and How of Communications...........11 3.2.4 Communications Framework.................................................................................................13 3.2.5 Implementing the Communications Program.........................................................................13 3.3 Training Strategy...........................................................................................................................14 3.3.1 Overview................................................................................................................................14 3.3.2 Types of Training..................................................................................................................15 3.3.3 Roles and Responsibilities for GIS Training..........................................................................16 3.3.4 Roles and Responsibilities by Type of Training...................................................................17 3.3.5 Learning Approach.................................................................................................................18 3.3.6 Measurement of Learning.......................................................................................................18 3.3.8 Critical Success Factors .........................................................................................................19 Section IV...........................................................................................................................................................20 Applying Change Management........................................................................................................................20 4.1 Summary of Change Management Responsibilities......................................................................20 4.1.1 Change Capabilities at Each Location....................................................................................20 Phase....................................................................................................................................................21 4.2 Change Management Performance Metrics..................................................................................22 4.2.1 Overview................................................................................................................................22 4.2.2 Purpose and Scope of Change Metrics...................................................................................23 ii
  • 4.2.3 Approach: Who and What Gets Measured.............................................................................24 4.2.3 Reporting................................................................................................................................27 Overview of the GIS Program Change Management Approach....................................................................28 A.1 The Change Process......................................................................................................................28 A.2 Managing the Change Process......................................................................................................28 Appendix B.........................................................................................................................................................30 Sample Charter for the Project Implementation Teams.................................................................................30 Northeast Ohio Regional Sewer District Geographic Information System Program Change Management Strategy Section 1: Introduction 1.1 Background History. Due to inefficient processes driven by disparate legacy systems, staff within the Northeast Ohio Regional Sewer District (NEORSD) spends too much time and energy on activities that do little to support the overall vision, mission, and strategy of the District. An upfront investment in integrating key processes and systems will free up staff to spend less time investigating and processing tasks and more time on value-added activities that support the District mission. The term “process” refers to how the work gets done, including the way in which people and tasks are organized and executed. The term “systems” refers to the tools, technologies, and information systems that people use to do their work. (For complete definitions, please see Section 1.4 below). In the short run, targeted changes to processes and systems will improve the efficiency and effectiveness of District operations. In the long run, these changes will lay the foundation for a more fundamental transformation in the way that staff support functions help the NEORSD achieve its overall vision and mission. A planned commitment of resources and resolve, along with a realistic implementation strategy, will minimize the risks of failure and ensure the successful implementation of efficient, effective processes and systems. One key component of the implementation strategy is a robust, systematic approach to managing change. Mission. The mission of the Geographic Information System (GIS) is to improve the operational, physical, data management and communication processes throughout the District. The GIS will reengineer the District’s business infrastructure in the context of industry “best practices” and implement enabling technology to provide necessary management information to support the District’s strategic plan. iii
  • Business Drivers. The expectations and objectives of the GIS Program are based on solid business rationale. These “business drivers” should support and provide: • A District-wide system for management of GIS-related data from District projects, • Integration of GIS-related data with other District data management systems, • General applications for accessing, analyzing, reporting and managing GIS data, • Specific task/department oriented applications to increase efficiency, automate work processes and improve communication. 1.2 Purpose and Audience The introduction of new processes and systems will profoundly affect the way most people within the NEORSD accomplish their work. These process and systems changes will be introduced to the District as a series of Projects covering all or a significant part of a functional area. A structured change management program is necessary to help the District workforce incorporate these changes and employ the new processes and systems to their full effect. Without a strong change management process most new major business systems fail to meet their target goals. The experience of other organizations indicates that successful system implementations have a structured change process. This document describes the NEORSD structured change management approach by: • Describing the outcomes sought from the overall change management program, • Clarifying the roles of persons involved in the GIS system implementation, both from a change management perspective and from a program management perspective, • Providing a common change management vocabulary for use throughout the District, • Identifying change management activities at the District level which can be used to get the outcomes, • Identifying assistance, tools, and resources that will be made available by the GIS Program to assist the District in carrying out change management activities. 1.3 The NEORSD Change Management Approach What does it mean to manage change? The term “manage” has four definitions: (1) to direct or control; (2) to succeed in accomplishing or achieving, especially with difficulty; (3) to coordinate or conduct the affairs of; and (4) to cope or get along. We use manage in all four senses of the word. By “change” we refer to organizational change, both in the sense of changing the organization itself (its assets, structures, systems, etc.), and in terms of changing organizational behavior. Organizational behavior includes the individual behavior of people in the organization and the collective behavior of the District. Finally, change should be managed not only in reaction to external events or threats, but also proactively. Proactive change is planned; it includes changes that anticipate shifts in the environment as well as those that create and exploit opportunities for beneficial change. In other words, to achieve desired results for the benefit of organization members and others with an interest or stake in the organization. Thus, change management means directing, accomplishing, coordinating, and coping with planned iv
  • organizational and behavioral change to achieve a desired result or set of results for the organization and its stakeholders. Managing Change in the GIS Program. Concurrent with the introduction of new technology, the NEORSD will introduce other business processes within the District. This strategy addresses the change management activities necessary to facilitate successful change in all areas. In this context, change management is the task of aligning the District’s people and culture with changes in business strategy, organizational structure, business processes, and systems. The tools that are used to undertake this task include communications, training and other activities (frequently described as transition activities). The GIS Program change management approach presented in this document draws upon research and field experience to provide an understanding of change in organizations and tools for managing change. An overview of the theoretical basis of our approach appears in Appendix A, along with definitions of some key terms (such as sponsors, change agents, change targets and change advocates) that are used in the document. The GIS Program’s approach is structured to aid and assist the Distric in carrying out the change management activities needed to be successful. To assist the District in preparing for this activity, a template for a Change Management Plan will be published which outlines a structured approach for organizing and carrying out Change Management activities. This approach breaks the work into the following five sequential phases: 1. Mobilize the team 2. Assess the current organization 3. Design the new desired organization 4. Implement the changes to close the gap from current to desired 5. Sustain the changes and continue to improve performance. The Program has also provided a set of basic change management tools and other documentation, described in Section 1.6. In addition to these documents, members of the Change Management Team are available to assist the District with specific issues, or in setting up and energizing the change management effort at a specific location. 1.4 Definitions A common understanding of the meaning of terms is essential to good communications. The following terms are used in this document with the meanings indicated below. TERM DEFINITION Ability The physical or mental capacity to act in a certain way. Behavior Observable performance or actions; what you can see someone doing or accomplishing. v
  • TERM DEFINITION Competency Observable and measurable human capabilities necessary to achieve specified outcomes or performance levels. These capabilities may be based on skills and knowledge as well as personal attributes, motives and commitments. Competencies are demonstrated through defined behaviors. Competency A test or survey of employees to determine the proficiency level of the Assessment workforce with respect to certain knowledge, skills, and competencies. Competency An organization, physical or virtual, with resources, skills and sponsorship Center that will be used to leverage information, support current and future implementations, maintain and upgrade technical and business process environments, all of which will lead to continuous improvements and self- sufficiency. Competency A meaningful collection and simple representation (usually visual) of the Model competencies and associated behaviors upon which the successful enactment of roles, jobs, and business processes rely. Core A critical competency for the organization’s success and/or competitiveness. Competency Curriculum A system of learning activities and content specifications, along with the conceptual framework for linking the learning activities in a sequential and effective manner. Job A cluster of related tasks, typically organized so that a single individual may perform all the tasks associated with a job. Knowledge/ The understanding and retention of information in specific areas; typically Expertise applied in the behaviors described in a competency. Learning Any opportunity available to an individual in which he/she can gain Activities knowledge or skill; note that learning activities are broader than just those included in formal training. Module In general, a module is defined as a relatively standard, self-contained, often interchangeable component of a system that is designed for easy assembly or flexible use. In computer science, a module is a portion of a program that carries out a specific function and may be used alone or combined with other modules to form a larger system. Module Project A module project aims to successfully implement a module across the organization by leading process redesign efforts, completing pilot implementation, sharing information and tools from the pilot, and by otherwise supporting implementation projects at the remaining locations. Pilot Serving as a tentative model or guide for future development. In the GIS Program, the word pilot refers to a particular set of activities, usually to vi
  • TERM DEFINITION implement a specific module, designed and organized to serve as an experiment or prototype for future adoption by others who must conduct similar activities (e.g., a pilot project). Pilot Project A pilot project in the GIS Program refers to the particular set of activities required to implement a module at a specific location. A pilot project is essentially a sub-project within the broader efforts of a module project. Process A set of tasks and work procedures, organized in a particular manner and executed in a particular sequence, so as to produce a meaningful end result or service. Project A planned undertaking; a set of tasks aimed at completing a goal or objective. In the GIS Program, projects are temporary in nature, typically using cross-functional project teams. Role A set of behaviors a person is expected to enact in relation to other people, organizations, or tasks. These relationships are typically defined in terms of specific responsibilities, accountabilities, or activities. A role is often suggested by, but is not the same as, a job title. Skills The ability to do something, typically to perform a particular task or job. System A set of functionally interrelated social and technical tools, including computer software, hardware, and data transmission devices, used to help perform manual or mechanical work. Systems are typically designed to facilitate the orderly, coordinated and efficient completion of specific tasks and work procedures. Tasks A specific activity or set of activities that an individual performs to accomplish a job. Training Needs A systematic approach to determining the causes of performance gaps. It Assessment includes gathering data from a number of sources on performance problems, analyzing causes and recommending training and non-training solutions to close performance gaps. 1.5 Principles Guiding Change Management in the GIS Program The GIS Program should adopt the following guiding principles for change management: • Facilitate dialogue between customers and stakeholders • Create an atmosphere of openness and honesty • Manage for results using goal-based project management and metrics • Establish clear roles and specific objectives, and measure progress, to ensure accountability vii
  • • As much as possible, seek input from staff in the major decisions that will affect them and their work • Communicate the vision at all levels of the organization, clearly articulating the program’s benefits • Seek support and commitment, or “buy-in,” from management and employees by involving them in planning and decision making • Train staff in new work processes and tools to minimize performance fears • Reward and recognize people for new behaviors that will help make the system successful • Transfer knowledge to build capacity for sustained change viii
  • Section II Relationships, Roles and Responsibilities in the GIS Program The wide-ranging changes that will come with the GIS Program will be implemented in a series of projects undertaken throughout the District. Each project will spearhead the design of new processes and systems and then “pilot” the implementation of process and system changes related to that module. This section describes the relationships, roles, and responsibilities of the different groups involved in the entire Program. 2.1 Overall GIS Implementation Structure This diagram shows the overall organization of the GIS Program. At the Program level, GIS activities are under the purview of a Steering Committee and Planning Manager. Enterprise GIS Organizational Structure Program Level Planning Manager Functional Project Level District-wide District GIS GIS Liasons Manager (Functions) • Planning • Engineering • WWTP(s) • Analytical Services • Building Maintenance System • WQIS Planning & Infrastructure GIS Designer & • TSS Engineering Support Consultants Database • SOM Support Administrator • SMR • LRTS • Accounting & Purchasing • Customer Service • Legal • HR • Safety & Security • Public Information GIS GIS Technician(s) Programmer(s) External Agencies This diagram depicts the levels of responsibility below which GIS teams are organized. First is the Program Level, which has the planning, guidance, coordination, and support responsibilities for the entire GIS Program, across all projects and across all locations. There is one GIS Steering Committee and Planning Manager for the entire Program. 1
  • Second is the Project Level, which lists key individuals and teams related to the GIS Program. Some of the participants may come from multiple process teams, if the impact of a given project spans multiple functions or processes. The right side of the diagram depicts the Functional areas, which lists key functions related to the GIS activities taking place throughout the District. The groups, roles, and responsibilities related to the functions listed here will be essentially replicated when needed for a specific location. The Steering Committee has primary responsibility for all activities, across modules and processes. Locations are responsible, for instance, for providing functional input into each module project’s process redesign efforts, as well as for implementing all relevant process and system changes as prescribed and piloted by each module project. As the change management roles and responsibilities are discussed, this diagram will be helpful in explaining and understanding the relationships of the teams. 2.2 Recommended District Structure The recommended District structure for the GIS has two parts—a Steering Committee and Project Implementation Teams. The Steering Committee and the Implementation Teams are enduring organizations formed at the outset of GIS activity, and disbanded only when all GIS activity is completed. 2.2.1 Steering Committee The Steering Committee is designed to serve as the GIS sponsor. In addition to the sponsorship, advocacy, oversight, and support roles that this committee plays with respect to the implementation of specific GIS systems, the Steering Committee also supports more general efforts to prepare the District workforce for its transition to new ways of working. Not only must current tasks and processes give way to new ones, the workforce must ultimately transform the way it does business, changing to efficient, technology-enabled service organizations that deliver value to internal customers. Eventually, organizations at every location must become strategic business partners that enhance and support the District’s basic mission. The Steering Committee is chaired from the Planning Manager’s Office, and is made up of functional process owners and other key stakeholders. The role of Committee members is both strategic and tactical. At the strategic level, their primary role is to develop a vision – essentially a “concept of operations” – of how the District will do business in the new GIS environment. The GIS will help provide tools, information, and other resources that have the potential to significantly improve processes and decision making throughout the 2
  • District. Each location has to decide how to capitalize on this opportunity to streamline work and maximize the contribution to their overall effectiveness. The Steering Committee is responsible for creating a vision and then for establishing objectives, allocating resources, resolving issues, making decisions and setting policy in order to achieve that vision. The Steering Committee also plays an important tactical role in selecting individual project leaders and Implementation Team members and guiding the transition to the new GIS systems. They are responsible for the “hands on” coordination of program, functional, and resource issues, resolving conflicts, and serving as a sounding board for project team issues. In short, the Steering Committees’ job is articulating, “this is how we are going to change our business and this is what we need to do to be successful,” and then delivering the leadership and resources necessary to do those things. 2.2.2 Project Implementation Teams Project teams are the “engines” of the GIS implementation because they work across a range of functional, change management, and IT roles to drive the implementation of GIS Projects. Project Implementation Teams should be formed under the charter of the Steering Committee and should report to the appropriate functional process owner. The first step in forming a Project Team is choosing the Project Manager (PM). PMs should have project management skills, since they will be running a critical project for the District. The PM is then responsible for assembling a project team – taking care to select the right mix of resources. Members of the Project Implementation Team are chosen from the functional area(s) affected by the implementation. The Project Implementation Team is responsible for developing a detailed project plan and schedule. In building their project plans, teams must take into account Program, process, and module dependencies, as well as risk management issues within the context of overall implementation. The Project Implementation Team will complete key tasks such as skills assessments, process gap analyses, and technology assessments to help develop an effective project plan and schedule. 2.2.4 Summary The recommended District structure for the GIS Program recognizes the important role of NEORSD leadership in the implementation process. This leadership involvement primarily comes in the form of the Steering Committee. The Steering Committee’s key role is to create and “own” the business vision for the District. Each project implementation should move the District to new ways of doing business, contributing to the District’s strategic plans, mission and business vision. Each project is “owned” by a member of the Steering Committee who serves as the Project Sponsor. The success of individual project implementations is the responsibility of a Project Manager. Project Managers are accountable to the Steering Committee through their respective Project Sponsors. The GIS Program will support Project Managers in the areas of integration and 3
  • change management (including transition, training and communications), but it is up to individual Project Managers to determine how to best use their team resources. 2.3 Change Management Roles and Responsibilities Responsibilities of the principal teams involved in the GIS implementation are described in the following paragraphs according to the roles each team is expected to play. 2.3.1 Program Level GIS Steering Committee. The Steering Committee provides sponsorship and advocacy for the GIS Program across the District. Members of the GIS Steering Committee serve as initiating change sponsors for the program. They broadly define desired changes, establish business objectives, and articulate the mission and scope of the GIS projects across functions and locations. The Steering Committee Chair serves as the Executive-level sponsor for the GIS change management process. The change management responsibilities of the Steering Committee include: • Actively supporting and advocating for District change and the corporate change process, • Dealing with resistance at executive levels, • Building commitment and support for the program with senior management. District-wide GIS Manager. The District-wide GIS Manager serves as, among other things, the central change management office and a key “change agent” for the Program. Among other tasks, the GIS Manager establishes the change management strategy, and sets policy for the commitment-building process. The GIS Manager elevates change management issues to members of the Steering Committee or other executives, as appropriate, and provides recommendations regarding planned, opportunistic and emergent change matters to the Steering Committee. With respect to change management, the GIS Manager: • Acts as the “change champion” for the GIS implementation, • Rallies support and secures commitment for the GIS from senior management, • Helps identify and secure needed change management resources, • Helps to define and launch GIS projects, • Tracks and communicates progress toward defined objectives, • Helps resolve conflicts and solve problems with respect to the GIS throughout the District, • Carries out ongoing commitment-building activities with process owners, functional leaders, and other stakeholders. Program Change Management Team. The Program Change Management Team (CMT) is part of the Program Office. Members of this team operate in a corporate consulting role, providing standard frameworks, a common language, and tools for change management throughout the District. They develop the change management Strategy, the Change 4
  • Readiness and other assessments, Performance Measures, the District Competency Model and change management tools. Other responsibilities of the Program Change Management Team include: • Serve as the coordinator of change activities for the GIS Program • Assist the District in change activities by furnishing change management methods, frameworks, and best practices, and by sharing lessons learned within the GIS Program, • Facilitate communication and coordination between and among projects, locations, and functions, and with key GIS stakeholders throughout the District, • Roll out and monitor the District change strategy and associated tools and templates, • Identify change issues and facilitate their resolution through the Planning Manager, • Coordinate training strategy with the Steering Committee, • Communicate program-wide information, • Partner with process owners on change management and training implementation as requested, • Act as the Program’s “listening post” for surfacing planned, opportunistic and emergent change issues, • Recognize effective performance and celebrate successful change at the Program level. 5
  • Section III Strategies for the Change Management Processes This section outlines the GIS strategies for Transition, Communications and Training, the three major change management processes. 3.1 Transition Strategy Transition activities are those activities, outside of training and communications, that are necessary to align people and culture with changes to systems and processes. Transition activities take place at both the transformational level (strategic) and the transactional level (tactical). The transformational aspects of change target fundamental, strategic aspects of the organization, such as its mission, underlying business models, and culture. The transactional aspects of change tend to be more tactical or incremental, addressing things like policies and procedures, work unit climate, management practices, or organizational structure. The GIS strategy for supporting transactional change is a two-pronged approach: • Transactional change: Most of the transition activities at the transactional level of change will be carried out by Implementation Teams, although the Program Change Management Team will perform some of this work on an District-wide basis when most or all of the locations have similar needs and it makes sense to “centralize” a certain set of transactional change tasks. The CMT will also provide assistance as required at individual locations in supporting their change activities. • Transformational change: The Program Change Management Team will work collaboratively with the District on transition activities at the transformational level of change. These efforts will be principally directed at key stakeholders. 3.1.1 Transition Activities Due to the GIS Program’s phased approach to implementation, the District will see several module implementations over the schedule duration. Therefore, transition work can be broken down into initial work that must be done when preparing for the GIS for the first time, and repeating work that must be carried out when preparing for and conducting each new module implementation. Further, some differences in the repeating work will occur between locations. These activities are briefly described here; additional information about specific activities can be found in the Transition Management Framework and the GIS Tool Kit. Initial Transition Activities. Initial work at each location includes mobilizing the change team, preparing the Project Implementation team, and assessing the “change readiness” of the given location. Activities include developing the scope, mission, and vision statement 6
  • for the location and initiating team development processes for the Project Implementation Team. The term “change team” refers to a somewhat informal, loosely structured group that performs all kinds of change management activities (communications, training, and transition). The change team is comprised of all the people at a location who are going to be carrying out change activities. Typically, this will include members of the Program Change Management Team, and might also include members of the Project Implementation Teams, particularly for large efforts. One of the first tasks of any Project Team is to analyze the current situation and define the purpose and nature of intended changes for the Module that will be implemented, then outlining a comprehensive change plan to align people, systems and structure for the Project. The outcomes sought and activities involved are summarized in Table 3.1 Table 3.1. Initial Transition Activities. Mobilize the Change Team Assess Change Readiness • Understanding of target groups and needs • Clarity of purpose, vision • Understanding of current • Team roles and responsibilities environment (strengths, Outcomes established and communicated weaknesses) Sought • Define the change management • Understanding of level of sponsor approach and describe activities commitment • Obtain sponsor commitment • Barriers to change and solutions have been identified • Clarify project charter and vision Activities • Establish change team • Conduct readiness assessment and • Assess current environment • Build project team credibility Actions • Leadership training Repeated Transition Activities. The activities repeated for each module implemented can be categorized into three major groups: • Design Change Activities: Developing change management plans to facilitate change towards the desired state. • Implementing Change Activities: Building understanding and commitment to change, training staff, motivating staff to pursue new goals or outcomes, and establishing new ways of working. • Sustain Changed Behavior: Institutionalizing and “refreezing” new behaviors, supporting cultural change and empowerment of the workforce, establishing 7
  • enduring continuous improvement processes, and building measurement processes to assess the extent to which change and learning have occurred. The outcomes sought in these activities are summarized in Table 3.2, below. Note that in addition to the activities described above, it may be necessary to repeat some of the initial activities, such as when new members join the Project Implementation Team or change team, or if other circumstances appear to warrant it. In general, it may be necessary to refresh the vision depending upon the outcomes promised by the new module being implemented. Table 3.2 Repeated Transition Activities Design Change Implement Change Sustain Changed Activities Activities Behavior • Growing awareness of need for change • Measurable results • Growing commitment • New skills being • Recognition of project from sponsor acquired success Outcomes • Agreed approaches • Management • Continuing for addressing major involvement in GIS assistance to users Sought barriers • Learning shared • Feedback and shared • Change activities within, across learning widely communicated locations • Process improvement • Recognition of in place successes • Performance • Promulgate new Management policies, processes, • Identify, major procedures • Comprehensive change issues Progress Assessment • Maintain sponsor • Develop sponsor’s activity plan involvement • Assist users Activities and • Resolve major • Lessons learned • Develop project Actions change issues analysis measurement system • Measure progress • Improvement • Configure change planning program, integrate • Institutionalize new into Roll Out Plan role design, any new • Recognition and organizational celebrations of structures success 3.1.2 Transition Activities at the Program Level The Program will develop and execute a series of activities at the Program level to benefit all locations, including the following: • Diagnostic visits to clarify location objectives and needs, 8
  • • Project management training for those persons who are to serve in leadership roles but who have never had the training. This training will cover cost, schedule, and risk management, • Change leadership training for members of the Project Implementation Teams and optional for project managers. This training will be directed toward those who lead the change effort at a location and will cover selection and use of change interventions, • Transition workshops to keep all locations informed about project progress, roll-out schedules, and preparations that need to occur. Metrics. The Program Office will also establish a series of change management metrics that can be used to measure progress toward a particular implementation. These metrics are addressed in Section 4. The GIS Program Change Readiness Assessment. The Program Change Management Team will work with the District to customize and administer this survey. As needed, the team will support locations with planning for administration, analysis, and interpretation of results. The survey results, to be provided at a minimum to project managers in the form of a facilitated workshop, will help them prepare for the GIS implementation through the identification of organizational “showstoppers” and other significant barriers to change, as well as those elements of the culture that may facilitate implementation. The survey results will provide data around which a location specific change plan will be built. Periodic re-surveys will provide the District with improvement measures relative to GIS change progress. Commitment Building. Commitment building covers an array of activities that prepares the organization for change by increasing awareness and understanding of the GIS program objectives and the process of change. The CMT will continue to provide other commitment-building services including Stakeholder Analysis and Planning, training for change advocates and leaders to provide processes and techniques for identifying and managing resistance to change. The CMT will work directly with implementation teams and project managers to build their knowledge and skills relative to change management during this phase. Organization Design. The GIS will inevitably bring changes to the way work is done and how it is organized. Many of these changes are accommodated through the organizational alignment activities carried out as part of a given implementation. Once the functional organizations have experience with the new system and processes, opportunities to redesign the organization of work will emerge. Vision Development. If the vision of transforming the way the NEORSD does business is to be realized, it must be realized by the Program Office. The Program Change Management Team will assist the District by working with leadership to develop a “business vision” that is congruent with the vision espoused by the Program Office: challenging, achievable, and promising benefits commensurate with the likely cost and effort to achieve it. 9
  • 3.2 Communications Strategy This section outlines the Program Office’s approach to Program level (or “global”) communications. It also describes the framework that will be developed to deliver content to Program level audiences, and support to Implementation Team members responsible for project level (or “local”) communication activities. 3.2.1 Communications Approach Effective communications is an essential part of how the Program Office will address the critical change needs of the GIS Program, particularly in the areas of culture, vision and strategy. The vision for the GIS – at the Program and Project levels – is the compelling story that will energize and support the change effort. Culture. Culture is the deeply held values, beliefs, and assumptions that exist within any society or organization. Although culture is deeply embedded in organizations, it is manifested in their observable behaviors, language, symbols, and stories. It is easy to see how communication relates to, and has the potential to help influence, the cultural aspects of change. Vision. The Program vision should articulate the undeniable need for change, and link the GIS program to the overall success of the District. Communicating the vision with clarity, a sense of urgency, and in terms that are compelling and inspiring, helps create and sustain momentum. Strategy. The Program strategy should clearly outline the GIS implementation approach. Communications will play a significant role in delivering the Program vision and strategy to all critical stakeholders. The communications process is a cycle of basic, repeatable activities. These activities include developing relevant content, delivering relevant content to key stakeholders, motivating and directing behavior in key stakeholders, and collecting feedback to measure the impact of the communication efforts. Vehicles  Developing relevant content  Delivering relevant content to key stakeholders Feedback  Motivating the desired actions from key stakeholders  Collecting key stakeholder feedback to measure the impact Content Stakeholders Action Feedback 10
  • Figure 3.1. The Communications Process. The Program Office approach incorporates a number of industry “best practices”. These communications best practices include:  Establishing concise, attainable objectives in support of the business case;  Identifying key audiences as those who can “make or break” the effort;  Creating a few clear, concise and repeatable messages;  Delivering messages via many messengers and a range of vehicles;  Creating content that shifts perceptions, spurs actions, and achieves results;  Gathering feedback on the impact and effectiveness of the communications effort;  Using feedback to refine and adjust the effort on an ongoing basis. Communications Objectives. Communications objectives are clear, concise statements of desired outcomes to be achieved as a result of the communications efforts. These objectives should be aligned with, and support the vision, goals and business objectives of the GIS program. Specifically, as a result of Program Office communications efforts, Program-level audiences should understand: • The “One District” concept – a standard way of doing business, • The compelling GIS vision, and how it will contribute to “e-Readiness,” • How the GIS implementation process will unfold, • What locations will need to do to prepare for implementation, • Responsibilities of the Program prior to and during implementation, • Roles and responsibilities of specific project teams. 3.2.2 Audiences, Messages, and Vehicles: The Who, What and How of Communications A communications strategy is typically built around what information needs to be communicated (messages), who needs to receive this information (audiences), and how the information will be transmitted to target audiences (communication channels or vehicles). This section briefly describes the GIS point of view on these elements of communications strategy. Key Audiences. There are a number of stakeholder groups who are critical to GIS program success. The characteristics of these key audiences are their role(s) in the Program and/or their vested interest in its success. Within this document, Program level audiences (versus project level) will be the primary focus. In identifying these audiences, it is important to group them together in manageable segments. An effort should be made to understand the perspectives and issues of each key audience group. This will help ensure properly targeted vehicles and relevant content. 11
  • Core Messages are clear and concise statements – high-level “themes” – that should be reflected, to the extent possible, in all Program communications activities and materials. They should be relevant, limited in number, and free of technical jargon and management spin. In creating these core messages, there are three levels to be considered:  Strategically, communications should align GIS program action with NEORSD business objectives, and deliver the powerful message that the future depends on the GIS success.  Tactically, communications must deliver the details of how the GIS implementation will unfold and what actions are required of whom and when.  Personally, communications should carry a credible "what's in it for me" by articulating the personal benefits that individuals will receive as a result of implementing and using the GIS. As part of the Program communications strategy and plan, there are two sets of messages that have been created to articulate both the “Why” and the “How” of the GIS program. Strategic Core Messages (or “Why are we doing this?”)  The GIS Program delivers technology the District needs to change the way it does business, and lays the foundation for the future.  The Program is taking a “One District” approach – the GIS Program delivers new District-wide processes that will only work if everybody implements and uses the system in the same way.  The GIS will provide timely, consistent and reliable information for management decisions, and allow for the exchange of information with customers and stakeholders.  The GIS will improve accountability and will help achieve efficient and effective operations.  The GIS will provide expanded opportunities for employees, and help attract and retain a world-class workforce.  Many systems are out-of-date, in need of major upgrades, or not integrated. Tactical Core Messages (or “How are we doing this?”)  The GIS Program will provide standard business processes and systems configurations, training and transition management to support project implementation efforts.  The GIS Program provides a series of manageable projects, new business processes and District-wide teams to help get the job done.  The GIS Program will work with Leadership and Functional Process Owners to develop their tailored implementation schedules.  The success of the GIS Program depends on the efforts of the Project Teams working at the various locations. 12
  • Consistency and repetition of these themes in all Program communications will result in core messages that are received and remembered. Over time, they should also help build a compelling desire to take action among key audience members. Communications Vehicles are the means by which messages are delivered to audiences. Examples include websites, newsletters, and memos. From the foundations of communications objectives, key audiences, and core messages, the communications plan helps schedule the communications process in terms of vehicles, timing and sequence. 3.2.4 Communications Framework In support of a coordinated communications effort between the Program and projects, a communications framework detailing roles, responsibilities, and dependencies will be established. The framework will be the working structure through which all communications are delivered. It will help establish a clear division between Program- level and project-level responsibilities in delivering content to key audiences and sharing information. In implementing its communications plan, the Program will keep the Project teams apprised of any significant revisions to the “global” communications strategy and plan, The Program will also regularly update and share standard approach documents that can be used to create “local” communications strategies and plans as needed; a set of communications tools and templates that can be tailored for use at “local” levels; and provide communications counsel and support, and/or training, as needed. 3.2.5 Implementing the Communications Program The Program will plan their “campaign” of tactical communications activities in shorter periods of time or “phases.” Each phase is developed with specific objectives to be achieved within a determined period of time. This approach of breaking up the campaign (the long term objectives) into a series of phases (short term objectives) allows for a more focused and manageable effort. It also facilitates a more measurable, and thus more responsive, effort in the long-term as the time between phases allows for assessments of prior period communications activities. The Program plans to leverage three basic types of mechanisms in gathering key audience feedback: Event-Based: These are used to measure the effectiveness of specific communications vehicles in accurately delivering the intended message. Examples include reply cards distributed at GIS presentations and evaluation forms at the end of future training sessions. Periodic: These are used to regularly assess how well core messages are being received, and if the communications program is moving key audiences in the desired direction. These periodic assessments will follow-up an initial “baseline” assessment the Program conducts at the inception of the implementation planning. The results of these follow-up assessments will help us understand progress made since establishing this initial “baseline.” Examples of periodic mechanisms include detailed written surveys, interviews and focus groups. 13
  • Performance-Related: In terms of linking communications efforts with specific business results, these will be the most difficult to measure. They will vary depending on the business metrics the Program will choose to track its success. Through this feedback, we will learn which messages have been delivered most clearly; which vehicles are most effective; and whether Program messages are spurring the desired actions. The Program will then work to incorporate this learning and new information into the ongoing communications effort - refining and adjusting the communications strategy and plan on an ongoing basis. 3.3 Training Strategy 3.3.1 Overview The education and training of NEORSD staff – to perform new tasks, use new technology, fulfill new roles, and engage in new work behaviors – will be critical to the success of the GIS Program. District staff currently possess a variety of skills, knowledge, and abilities that they can naturally transfer to the new ways of working that the GIS will entail. However, it is expected that as the organization and nature of some areas of work change, varying degrees of education and training will be required to help some staff members develop new skills and learn new ways of working. Some staff members’ roles and responsibilities will be expanded, and therefore they must understand and be skilled in a greater variety of tasks than was required in the “old way” of working. Learning activities, therefore, will be one of the most important ways that the District will close the gap between current skills and knowledge and the skills and knowledge that will be required to successfully function in the new GIS environment. This section outlines the GIS Program’s philosophy and approach with respect to training for specific GIS elements as well as the strategy for developing the required skills and knowledge to support the GIS implementation more generally (e.g., change management training). The GIS program will follow an accepted education and training industry process known as Instructional Systems Design. This process includes the following phases: Planning and Needs Analysis, Course Design and Development, Delivery, and Evaluation and Improvement. Mission, Goals, and Scope of GIS Training. The GIS Program’s mission with regard to training and learning is to: • Develop and articulate a comprehensive learning strategy for the GIS • Coordinate and monitor execution of the GIS learning strategy • Develop learning interventions to support District-level transformation • Support and offer guidance to locations and their projects • Establish standards and procedures for instructional methods and learning technology approaches 14
  • Although the Program Office, and the Program Change Management Team in particular, clearly play an important role in planning, coordinating, and supporting training activities for the GIS, at its heart, GIS-related training will be a District activity. Most of the training done as part of the GIS Program will be developed by project, then customized and delivered at each location by District personnel. In addition, the following assumptions serve as the core philosophy underlying the GIS learning program efforts: • Training is only one of many interventions that must be applied to increase performance. The importance of ongoing learning must be reinforced and supported through other human performance systems, • The most effective and efficient learning delivery methods for a curricula or course1 will be selected based upon an analysis of learning needs and learning styles of staff, • Learning for the GIS will be on-going and work-related, taking place on-the-job as well as in the classroom, • The responsibility and accountability for learning and development is jointly shared between managers and employees. 3.3.2 Types of Training The GIS Learning Portfolio will consist of four major curriculum areas: Pre-requisite, Application/Process, Supplemental and Enrichment. Pre-requisite Training. Pre-requisite courses provide instruction in the knowledge, skills and abilities needed to attend application and process training courses. Typically, this will include skills required to navigate the system, such as basic personal computer skills, or proficiency in the use of web-based applications. Application / Process Training. This curriculum area focuses on what the users need to do to function in their new roles with new software. It includes training in how to use the new software applications as they have been configured for use with District processes. Enrichment Training. Enrichment training is essential to the success of the GIS Program. It is non-technical training that assists learners in leading, managing projects and embracing change. It consists of training in the areas of Change Management, Leadership, and Project Management, and will vary based on location needs. For example, a project team may find it needs skills in incorporating the change vision into project team goals. Or, a specific location may desire an understanding of the key attributes of leadership in a major change effort. 1 The term “course” is used throughout this document to refer to any type of planned learning event, and is not limited to classroom delivery or formal group training activities. 15
  • Table 3.4. Types of Training Anticipated in the GIS Program. Types of Training Prerequisite Application / Enrichment Training Process Training Training Examples Basic computer Using the GIS to Change skills update drawings Leadership Target Any prospective Application users Project Audience user Leaders It should not be assumed that these three types of training are linear. In other words, applications training will not necessarily occur before enrichment training. In fact, it would not be uncommon for enrichment training to begin prior to applications training. Enrichment learning may occur at different timeframes in the implementation process, depending on specific needs relevant to the content of interest (e.g., change management training). 3.3.3 Roles and Responsibilities for GIS Training Program Level GIS Program. The Program Office, and in particular the Program Change Management Team, will play an active role in forming the vision and philosophy for training, and shaping the training approach for GIS activities across the District. In addition, the CMT will: • Develop frameworks, guidelines and standards for use throughout the District, • Act as a central repository for training feedback and lessons learned, • Share training lessons and best practices (collected from within and outside the District), • Anticipate and plan for future training needs, • Address common or overarching training needs at the District level, • Monitor and promote efficiency in the overall training program, • Provide development standards to foster consistency and facilitate knowledge sharing, • Help coordinate between the various players in the training arena, including clarifying their respective roles and responsibilities, • Provide guidance and assistance in designing and delivering pre-requisite and enrichment training. • Assist in preparing to roll out Application / Process training (upon request). Project Level 16
  • Project Teams. The Project Teams will develop and pilot application and process training for their modules. They will provide their products to the District, and make their expertise and subject matter experts (SMEs) available to serve in a consultative role. The Project Teams will develop module-specific training plans, design training curricula, assess training needs, and identify and train SMEs. With support from the Implementation Contractor, the Project Teams will develop District training materials, job aids, and procedure manuals. It is here that development and integration of process and application training for the District will occur. Key members of the Program should work with CMT, participate in skill assessments, and be responsible for formulating the pre-requisite training program for the District. Specifically, these responsibilities should include: • Formulating or procuring appropriate courses for prerequisite training, • Maintaining a master calendar of training events and activities, • Preparing and distributing training announcements, • Coordinating logistics – including things like registration, enrollment, facilities, and audiovisual – for training events and other GIS learning activities, • Assist with GIS training evaluation, including distributing, collecting and analyzing evaluations of training activities. 3.3.4 Roles and Responsibilities by Type of Training Pre-requisite Training The determination of the need for this training, and for ensuring that learners possess essential pre-requisite skills, is the responsibility of the Project Office. The Project Office is responsible for helping to develop and deliver specific offerings; and the GIS Program will assist, if needed, by providing assessment tools that can be used to determine training needs and by locating suitable training courses or materials. Application / Process Training This training is developed and piloted by Project Teams and the implementation contractor as part of the pilot implementation at a location, and is then revised and rolled out to the District. Delivery of application/process training is the responsibility of the District, with some assistance from the Project Teams. Enrichment Training Depending on the scope of the enrichment training being offered, the responsibilities will vary. For example, the Project has primary responsibility for any change management training that relates to a specific module. While the GIS Program will take the lead on providing workshops that have a broader scope such as, Managing in an GIS Environment. 17
  • 3.3.5 Learning Approach Approach to Training Design and Development Standardization of Training Materials. The GIS Program will develop standard formats and specifications for training materials (e.g. visual aids, student guides, facilitator guides) and facilitate their use by internal trainers in order to further efficiency and consistency across the Program and to reduce the cycle time for developing new materials. The Program will use a modular approach to training, so each “chunk” of training will be somewhat generic, requiring locations to tailor and customize training courses. This will help specific locations to more easily build a training program to meet their unique needs and allow for ease of transition to alternative modes of training. The GIS Program will also inventory and evaluate the applicability of training materials currently available in order to avoid the unnecessary expenditure of time and effort to recreate training materials from scratch. Approach to Training Delivery Delivery Approach. Our approach to delivery will be “just in time” education, with offerings delivered as close to the implementation as possible with the appropriate amount of lead time. We recognize that different modules may require different delivery approaches and will utilize the appropriate mode of delivery to maximize learning. Pre- requisite training will precede Application/Process Training. Management will be responsible for ensuring that learners receive pre-requisite training if required. We anticipate that instructor-led delivery will be the primary delivery vehicle for the major modules and expect to employ a train-the-trainer approach. 3.3.6 Measurement of Learning The GIS Program will establish a framework and measures to determine the learner’s mastery of the learning objectives and opinions of the training activities. Evaluating the effectiveness and application of training is critical. The evaluation process will go beyond reactions to the training to assess how and if training concepts and skills are being applied and are contributing to the achievement of the GIS Program objectives. Learning Evaluation Evaluation of immediate feedback of the training. Evaluations provide a good source of feedback on possible improvements to the learning experience. We will accomplish this through course evaluations administered at the conclusion of the training session. The evaluation will capture participants’ reaction and feelings about content and delivery. The GIS Program will create a sample evaluation to be used for every training experience. This will provide consistency in feedback from learners and allow for comparison and evaluation of learner reactions. For this comparison, the GIS Program will recommend an index of questions. This will allow flexibility in utilizing additional questions or tailoring 18
  • the instrument for alternative media. Information gained will be used to refine and revise the offerings and /or the training and delivery plan. Application on-the-job of skills learned in training. This evaluation measures the transfer of concepts learned in training to the work environment by a change in behavior of the participant. It is expected that the GIS Program will look at learning measurement in conjunction with the functional organizations. The assumption is that much of the data that is planned to be collected will include behavior change metrics that can be utilized for learning evaluation. 3.3.8 Critical Success Factors Allocation of sufficient training resources. Time needs to be allocated for the technical experts that may be called upon to instruct. This time needs to cover the trainer’s own learning activities, as well as time to be spent training others. Trainers must also be considered compensated and measured by their contribution to the overall success of the training implementation. Appointment of talented and accountable training representatives. Training will be a continuing concern before, during and after a module roll-out. It is essential that the Projects have a capable member to maintain an understanding of the whole scope of GIS- related training. 19
  • Section IV Applying Change Management The preceding sections of this document have described the outcomes expected from each phase of the change effort, the roles and responsibilities for achieving these outcomes, and some of the important change strategies that will help ensure success. This section summarizes the change management responsibilities at a location, and describes performance metrics for assessing the progress of change management work. 4.1 Summary of Change Management Responsibilities Change management activity for the GIS Program starts in mid-year 2002, and will continue until the complete GIS is implemented. One of the functions of the change management function is to help realize the full measure of benefits that accrue from the implementation of reengineered processes and new technology, and to move beyond efficiency gains to new ways of doing business. This means that the change management function must move beyond “getting the system in” and be a continuing force in using the processes and systems. 4.1.1 Change Capabilities at Each Location Each location needs to establish an ongoing capability to manage the change inherent in the GIS Program, regardless of their role at any given time in the project. The GIS Program has recommended that this continuing capability be vested in a Project Team, which would include persons with change management and information technology capabilities. A continuing change management capability is needed because the GIS vision transcends the capabilities of any single module, and continuing attention to change will be necessary if this vision is to be achieved. Establish and Mobilize the Change Team. In many cases, core membership on the change team will be the same, or nearly the same, as the CMT. Additional members of the change team might include key staff, project team members, and other staff who play change management roles with respect to the functions/processes being changed. Because the roles and responsibilities of the change team are broad and somewhat “fuzzy” by design, the structure and composition of this team is not as clearly prescribed in the CM strategy as other teams. Although the change team is an enduring one, lasting for most of the duration of the GIS Program, the team’s objectives, activities and composition are likely to change relatively frequently. It is up to the Steering Committee and the individual projects to determine who is, and who is not, a part of the change team at any given time. Once its members are identified, the change team should gain an understanding of the mission and vision of the GIS Program, and how the various projects contribute to that vision. The team should make contact with the various projects, establish regular communications with the project leaders, and gain an understanding of the roles that will be required during project implementation. 20
  • One of its first tangible tasks will be in the area of communications. There is an ongoing need to share information about the GIS Program with District staff, initially to raise awareness and clarify its purpose, scope, and implications for a given location. It is up to the change team to carry out some rudimentary communications activities as soon as possible, while simultaneously developing a more robust communications strategy and plan for future communication activities. The communications strategy and plan should be designed to support all the specific projects being implemented, as well as the overall vision of the GIS Program and the business vision for the District. This centralized planning approach facilitates a consistency of communications and eliminates the need to develop multiple strategies and plans for each individual project. Assess Change Readiness. The change management team should begin to assess the readiness for change before the first project implementation begins. The change team should work with the Program Change Management Team to customize a survey and plan for its administration. In addition to this overall assessment, the District should begin to understand the readiness of various segments of their workforce to participate in user training for the various projects. This will require that the District understand the targeted populations for each project, and the skills needed to participate in application/process training. In most cases this will be familiarity with desktop applications, but may include things like internet skills (e.g., web-browsing) or special functional skills (e.g., drafting). Needs for prerequisite training should be determined well before user training is scheduled to begin. The GIS Program Office makes sure that the vision for the GIS Program does not get lost in the frenzied activity of module implementation. In addition, the Program Office ensures that each location is aware of progress in module implementation, and is providing timely notice regarding work that must be done to prepare for module roll out. Table 4.1. Summary of Expected Change Management Outcomes Phase Desired Outcomes Mobilize the Change • Clarity of purpose, vision Team • Roles and responsibilities established and communicated • Define the change management approach and describe activities • Sponsor commitment Assess Change • Understanding of target groups and needs Readiness • Understanding of current environment (strengths, weaknesses) • Understanding of level of sponsor commitment • Barriers, solutions identified 21
  • Phase Desired Outcomes Design Change • Communication plan accepted Activities • Training plan accepted • Growing commitment from sponsor • Agreed approaches for addressing major barriers • Change activities widely communicated Implement Change • Growing awareness of need for change Activities • New skills being acquired • Management involvement in the GIS • Learning shared within, across District • Recognition of successes Sustain Changed • Measurable results Behavior • Recognition of project success • Continuing assistance to users • Feedback and shared learning • Process improvement in place 4.2 Change Management Performance Metrics 4.2.1 Overview “What gets measured gets done.” This saying is based on the premise that things get done right when specific people are held accountable for specific actions and outcomes – and the best way to hold people accountable is by observing, evaluating, and reporting on what is expected of them. In this spirit, we will use metrics (quantifiable measures of performance) as part of our performance management process. Following are some of the valuable benefits of metrics: • Developing metrics helps clarify goals. While it may be easy to agree “in theory” on key goals, making goals operational in the form of specific, measurable performance criteria tends to be considerably more difficult. The very process of developing specific metrics creates a better understanding of what the most important desired outcomes for a change program are, as well as some of the important actions that will be required to achieve them. • Developing metrics will help communicate and reinforce expectations. After key goals are agreed, there is a need for clear understanding among all parties regarding “who does what to whom,” including how and when specific people must execute certain actions and/or accomplish certain outcomes. Such role clarity is critical to the success of change programs. Just as specific measurable criteria help create real agreement about goals and objectives, they can also help create a better, clearer shared understanding of what is expected of various stakeholders. Given the level of 22
  • collaboration required for the GIS Program, clear expectations (i.e., about who is responsible for what, using unequivocal language and precise terms) will be essential. • Metrics allow change programs to gauge and communicate current performance relative to expectations. Once goals and roles have been clarified through the development of metrics, the actual measurement and reporting of metrics will serve as valuable feedback. By pinpointing the gaps between current performance and expected performance, using clear and sensible metrics, problems and issues may be understood and addressed as they arise. With robust communication and reporting, the right people will be made aware of performance gaps, and thus will be better able to mitigate and correct problems so that implementation plans can be kept on track. • Metrics help establish accountability for executing critical tasks and achieving key objectives and program milestones. When people know that their performance will be measured and reported back, those responsible for key tasks and outcomes will be more likely to do what is necessary to meet the performance criteria they are being measured against. By clearly communicating (a) who is responsible for what, (b) what will be measured, and (c) the performance criteria that must be met, the program can achieve the levels of accountability needed to sustain complex change efforts. The reporting of metrics, in and of itself, may serve as a useful motivator for desired behavior on the part of change agents and stakeholders. When accurate and timely performance results are displayed publicly, for example, the good results that follow effective performance serve as recognition for a job well done. Conversely, the threat of publicly communicating unfavorable results can also help motivate people to avoid failure by making sure to do those things for which they are responsible and accountable. • Metrics will help to identify issues so that the program office will know where and what kind of help is needed. Specifically for the GIS Program, metrics will be used to track progress at the locations, and to help identify where and what kind of help is needed. Given the substantial coordination efforts that the GIS Program will require, a common set of metrics to track progress toward key objectives and milestones is critical. 4.2.2 Purpose and Scope of Change Metrics There are three types or “levels” of GIS performance objectives and metrics: (1) District transformation, (2) functional/process performance, and (3) implementation and change management. Table 4.2 The Three Levels of GISP Performance Objectives and Metrics. Type of Metric Time Frame Scope Sample Objective District Long-term, Transformational Strategic repair decisions made 23
  • Transformation Strategy-focused based on accurate engineering and service data, as well as relevant cost and value driver information. Functional / Ongoing, Transactional Across the District, drawings Process Process-focused revised and accurately modified Performance within a 48 hour period. Implementation Short-term, Transitional Functional representatives from and Change Implementation each location participate in Management focused District Design phase to design new process blueprints for appropriate processes and functions. The change metrics presented here belong primarily to the third category, implementation and change management metrics. Unlike process metrics, where the performance targets may change but the metric itself tends to remain unchanged (e.g., drawing update accuracy), implementation metrics are, at some point, completed. Once completed satisfactorily, implementation objectives and metrics need not be revisited. Thus, while a process metric for drawing updates can be reported each and every month indefinitely, implementation metrics are necessarily time-delimited. For instance, a project that has met all performance criteria for the objective “Functional representatives from each location participate in District Design” has checked the box, so to speak, for that objective and therefore will not be measured again on that metric. District transformation metrics and functional/process performance metrics are addressed in the change metrics only to the extent that process metrics must be created and reported. The change metric does not specify what the objectives or performance criteria should be for District transformation and functional/process performance, only that they be established and that, once created, performance is measured and reported. Implementation and change management metrics, on the other hand, are spelled out in some detail (see below). These metrics cover everything from program and project start- up activities, to module roll-out, to ongoing responsibilities that will be measured during the life of the GIS Program. Metrics will be reported for each location, reflecting a single set of metrics for overarching objectives. Project metrics are repeated for each module. 4.2.3 Approach: Who and What Gets Measured Metrics are organized according to their appropriate phase of implementation (i.e., where the metric fits within the overall sequence of implementation activities). For the purpose of change metrics, there are seven phases of implementation, as shown in Table 4.3. 24
  • Table 4.3. Change Management Phases of GISP Implementation for Use in Understanding and Using CM Metrics. Phase Name Comments 1. Program start-up Includes establishing the Project Implementation Teams. 2. Project initiation* Includes all necessary start-up activities for a module. 3. District design* The project team for a module is responsible for leading District design activities for relevant processes. 4. Pilot The pilot location for a module is responsible for pilot implementation* implementation. 5. Hand-off* Pilot locations an other functional areas share responsibility for hand-off activities. 6. Roll-out* Project teams are primarily responsible for roll-out activities. 7. Ongoing This includes ongoing project team responsibilities and lasts for the duration of the GIS for each location. * These phases are repeated for each module. Metrics are also organized according to who gets measured (i.e., who is responsible / accountable). For each phase, a set of overarching program objectives is created. Then, for each program objective, a more detailed sets of role-specific objectives and metrics is created. Combining the two dimensions on which metrics are organized – (1) phase of activity and (2) who is responsible – yields a matrix that will serve as the overall framework for the GIS Program implementation and change management metrics. The program objectives around which role-specific objectives and metrics were created are listed in Table 4.4, below. Note that these are the overarching objectives for the entire GIS Program. Associated with each program objective is a corresponding metric or set of metrics for one or more of the roles listed above. Table 4.4 Measured Program Objectives by Phase. Phase Program Objectives Program start-up 1. Develop and communicate the GIS vision 2. Secure commitment for the GIS 3. Establish the GIS Program governance structure 4. Lay the groundwork for the GIS projects and implementation activities 25
  • Phase Program Objectives Project initiation 1. Define the GIS project/module; develop the business case 2. Build support and commitment for the project/module throughout the District 3. Secure sponsorship and funding 4. Launch the project District design 1. Design new process maps to be effective throughout the District 2. Build and sustain the commitment and support necessary for the projects/ modules to be successful 3. Communicate design progress and change implications across the District 4. Coordinate design activities across the District 5. Develop initial change plans for successful implementation 6. Map process and technology changes to specific benefits 7. Develop metrics approach for tracking performance Pilot 1. Measure current “baseline” performance at a pilot location implementation 2. Implement changes; track and communicate progress 3. Set the stage for effective roll-out; begin building skills and transferring knowledge to other locations by conducting training and involving them in the pilot implementation 4. Pilot location staff are effectively using new processes, technology Hand-off 1. Change management services and materials effectively provided to subsequent locations 2. Change plans and materials customized for use at subsequent locations 3. Subsequent locations are ready to proceed with roll-out Roll-out 1. Measure current “baseline” performance at subsequent locations 2. Secure commitment and support needed for successful implementation of modules 3. Coordinate roll-out activities across the District 4. Implement changes; track and communicate roll-out progress 5. Ensure knowledge transfer between locations 6. Implement modules across the District; ensure that new GIS applications are effectively used Ongoing 1. Retire legacy “shadow” systems 2. Support ongoing use of and improvements to the GIS 3. Capture the full strategic potential of the GIS Finally, while all metrics are important, some are deemed absolutely critical to the success of the GIS. This “program critical” designation will have important consequences on how metrics are reported (see below). 26
  • 4.2.3 Reporting Metrics will be reported using a series of “scorecards” or performance reports. These scorecards will be created using a point system, where each metric is worth a number of points. Scores for a number of specific metrics will be combined along various dimensions (by location, by phase of activity, by project or module, etc.). By combining the points earned for a number of related metrics, a series of bars will be created and displayed in a bar chart format. A gray bar will represent the target level of performance, based on the number of points that should have been achieved based on previously agreed schedules and deadlines. An adjacent bar, colored green, yellow or red, will show actual performance, based on the total number of points actually earned to date. If all performance criteria and deadlines have been met, the color of the “actual performance” bar will be green. If any performance criteria were not met by their target dates or deadlines, then the color of the bar will be either yellow or red, depending on whether any of the metrics missed were “program critical” metrics. Missing even one program critical metric results in a red status bar or “actual performance” bar on the chart. Metrics will be reported on a cyclical basis (e.g., every quarter). At the end of each reporting cycle, scorecards will be distributed to key Program stakeholders and sponsors. The way in which program metrics are structured will yield many possible ways to look at performance data. For instance, one scorecard might summarize program-wide performance for each phase of activity. Another scorecard might summarize the performance of a location across phases. Yet, other scorecards will focus on specific combinations of locations, modules, objectives, and phases. The Program Office will work to construct and distribute scorecards so that they are easy to read and capture the information that is of maximum utility to target audiences. 27
  • Appendix A Overview of the GIS Program Change Management Approach The NEORSD GIS Program change management strategy draws upon research and field experience to provide an understanding of change in organizations and approaches for managing change. This appendix presents a brief overview of the change process. A.1 The Change Process Change in organizations is seen as a disruption of established expectation patterns. Regardless of its nature, it is almost always resisted. Many factors besides the nature of change itself may fuel resistance, and its intensity and persistence are influenced by organizational and personal factors. Change management is the process of aligning the organization’s people and culture with the changes in business strategy, organizational structure and systems. Several tools are used to bring about this alignment; two of the most frequently used are communications and training. An aggressive communications program to inform the organization about what is happening can promote an atmosphere of openness and honesty, and training in new work process and tools (e.g.: the geographical information system) is essential to dispel performance fears. This plan integrates a number of transition activities that will help to align people and culture with the new business strategy, organizational structure and systems. A.2 Managing the Change Process One of the first principles of change management is that persons must understand and internalize the compelling need to change. While a careful articulation of the advantages of the change is important, it must be made clear to the organization that the change is a business imperative—that is to say a “burning platform”, that the organization is going to change and there is no turning back. Closely allied to this concept is that of consequence management - what happens to those who embrace the change or to those who continue to oppose it? Another imperative is to clearly understand the roles in organizational change, since a lack of understanding of these roles and who is taking on these roles inevitably leads to unfulfilled expectations. The roles are:  Sponsor: the individual or group that legitimizes the change,  Agent: individual or group responsible for implementing the change,  Target: individuals or groups that must actually change,  Advocate: individuals or groups that want change, but have no power to legitimize it. While most of these roles are clear, the function of the Sponsor is not always understood. Returning to the definition, the Sponsor legitimizes the change. Legitimize is used here in 28
  • the sense that the sponsor says that “this is what we are going to do”, essentially stopping debate on “what” and shifting the focus of discussion to “how”, “when”, etc. The sponsor may not, and most often does not, carry out implementation of the change, and thus may not have a high day-to-day profile in the change as it progresses. The sponsor’s role is broken into two parts. The Lead Sponsor is the person with the ultimate authority to legitimize the change. The Sustaining Sponsor has vested authority to legitimize the change, and may be the sponsor that most people in the organization see as the sponsor. Although the change roles are the same in all projects (sometimes there is no apparent advocate) the persons seen to be filling those roles may vary depending upon the perspective of the observer. Table A.1 lists the individuals in each role as might be viewed from three perspectives: a person outside the District (a contractor, for example), a person in the District, and a person at a specific location. Table A.1 Change Roles in the GIS Program Perspective Role Definition Outside District Specific Location Lead Sponsor: Ultimate Steering Committee, Plant Manager N/A authority to legitimize change. Planning Manager Sponsor Sustaining Sponsor: Vested Planning Manager, Plant Manager, authority to legitimize change N/A District-wide GIS Functional Manager Manager(s) Individual/group who is District-wide GIS Functional Agent(s) responsible for facilitating the N/A Manager, Project Manager(s) process of change Teams The people who must change All NEORSD Plant Employees, their behaviors and ways of employees, NEORSD Target N/A working NEORSD contractors contractors Individual/group that supports the GIS contractors, City, Senior Employees, Senior Employees, Advocate change but does not have the State or Government Subject Matter Subject Matter power to legitimize it. Agencies Experts Experts 29
  • Appendix B Sample Charter for the Project Implementation Teams Mission: The Project Implementation Teams serve as a standing group that integrates with and supports all module Project Teams at a location during the life of the GIS Program. The teams will provide Information Technology (including hardware, application and architecture) and Change Management (including training, communications and organizational design) support to the Program. For the duration of the GIS Program implementation, the Project Implementation Teams will also serve as a “GIS knowledge repository” for experience at the locations. In this capacity, the teams will: • Capitalize on lessons learned from successive implementations • Be familiar with the tools and vocabulary of the GIS implementation • Serve as a liaisons between the locations and the GIS Program Office prior to, in between, and after module implementations Team Membership/Roles & Responsibilities: The Steering Committee, with input from other leadership, will appoint the Implementation Team members, who will carry out assignments and reporting at the Steering Committee’s discretion. Project Implementation Team Leader: • Appointed by Steering Committee • Responsible for the logistics of each meeting (i.e., planning and reserving room and materials) and leading the meeting itself • Helps keep the team focused on outcomes • Participates as a full-fledged member • Gives interim reports to the Steering Committee, Planning Manager and District- wide GIS Manager • Serves as primary Point of Contact between locations and the Program Office prior to, in between, and after module implementations • Obtains any necessary approval for team activities Project Implementation Team Members: • Appointed by Steering Committee and are willing members • Have sufficient knowledge of their respective areas • Share knowledge and contribute expertise • Participate fully and evenly, and are vested in the success of the team • Give objective feedback to other team members • Are credible and have the respect of management and peers 30
  • The Project Implementation Teams should consider employing a third party or objective facilitator to keep the team focused, provide feedback to the team and management, and make recommendations to help the team work more effectively. Sponsorship: The GIS Steering Committee, chaired by the Planning Manager, will provide general sponsorship to the Project Implementation Teams. The Steering Committee owns the District business processes that cross functional and line organizations, and are responsible for scoping the change and establishing the business objectives, mission and scope of the implementation activities. The Steering Committee: • Owns the overall District management vision • Resolves program, functional, and resource issues for the District • Deals with resistance to change at the management level • Is responsible for the success of the program • Carries out on-going commitment building activities • Resolves District level conflicts with competing priorities • Acts as sounding board for issues (delegation of authority, sequencing of roll out, etc.) 31