This document provides an overview of the Change Acceleration Process (CAP) model, which outlines a change management method and set of tools for getting buy-in and ensuring successful implementation of change initiatives. The CAP model involves 7 steps: leading change, creating a shared need, shaping a vision, mobilizing commitment, monitoring progress, changing systems and structures, and making change last. Each step is described in 1-2 sentences. Practical application questions are also provided to help users apply the CAP model concepts.

1. Section & Lesson #:
Pre-Requisite Lessons:
Complex Tools + Clear Teaching = Powerful Results
Change Acceleration Process (CAP) Model
Introduction – Lesson 12
A review of the CAP model that outlines a change mgmt method and set of
tools for getting buy-in and ensuring successful implementation of the change.
Intro #04 – Corporate CTQ Drilldown
Intro #11 – ABC Model
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted by any means
(electronic, mechanical, photographic, photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.

2. Change Effectiveness Equation
o GE wanted to find out what makes a project successful (yielded the expected benefits).
• They studied hundreds of projects and business initiatives. Here were their findings:
 100% of successful projects had a good technical solution or strategy.
 98% of unsuccessful projects also had a good technical solution or strategy.
• They concluded that a good technical solution is not enough to make a project successful.
 What makes a project successful? Acceptance (or buy-in) of the change.
o GE created the following Change Effectiveness Equation to describe this phenomena:
• This equation can be described as:
 The EFFECTIVENESS (E) of any initiative is equal to the product of the QUALITY (Q) of a strategy and the
ACCEPTANCE (A) of that strategy.
 A multiplicative relationship is used because if the Acceptance is zero, then the total Effectiveness will be
zero regardless of the Quality of the strategy. Likewise, if Quality is zero, then it will not be effective.
o Since Acceptance is so critical, GE developed the Change Acceleration Process (CAP).
• CAP Tools were developed to teach how to get the buy-in to successfully implement change.
• The ABC Model can play a significant role in how we acquire that buy-in:
 It helps us understand the level of evidence our audience may use for decision-making.
 The more our strategy’s level of evidence meets/exceeds the audiences’, the more likely they’ll accept it.
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
2
Q x A = E
Quality Acceptance Effectiveness

3. Overview of the CAP Model
o The Change Acceleration Process (CAP) can be adapted to manage any major change.
• This lesson will define how the CAP Model and Tools can be adapted for Lean Six Sigma projects.
 Many of the CAP tools are the same as other Lean Six Sigma tools so they will not be addressed in detail
here, but are covered more in-depth in other lessons.
o Below is an illustration of the CAP model:
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
3
Current state Transition State Improved State
Monitoring Progress
MobilizingCommitment
ShapingaVision
CreatingaSharedNeed
MakingChange Last
Systems and Structures
Leading Change

4. Leading Change
o What is “Leading Change”?
• In a word, “Sponsorship”.
 No project can be successful at implementing change without
committed leadership throughout the duration of the project.
• Leadership support should be visible and active.
 A Sponsor should be fully engaged in supporting the project by
being aware of the need and providing the necessary resources.
 A Sponsor may not need frequent communication or updates, but
they ensure full support.
o What if the sponsorship wanes or changes?
• A significant change in sponsorship support can be a serious risk of failure to the project.
 If the Sponsor is not fully supportive (changes direction, withdraws resources, isn’t fully engaged, etc.),
then stop the project and make every attempt possible to meet with the Sponsor to assess their support.
 If the Sponsor changes roles, then stop the project (if possible) and make every attempt to acquire the
support of the new Sponsor. If possible, include the former Sponsor in a meeting with the new Sponsor.
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
4
Current state Transition State Improved State
Monitoring Progress
MobilizingCommitment
ShapingaVision
CreatingaSharedNeed
MakingChange Last
Systems and Structures
Leading Change

5. Creating a Shared Need
o What is “Creating a Shared Need”?
• The reason or need for the change.
 The need for change must exceed any resistance or inertia in
the organization to maintain the status quo.
 Change can be driven by threat or opportunity.
 The reasons for change must be compelling not just for
leadership but any stakeholder affected by the change.
o How do you communicate the need?
• The need can be identified and aligned with the corporate CTQ Drilldown.
 The CTQ drilldown aligns lowest level initiatives up to the corporate need of satisfying shareholders.
• The need can also be communicated by using the 3 D’s:
 Data = The degree that internal/external sources of data show the need for change (benchmarking).
 Demonstration = The degree that best practice sites or piloted projects show the need for change.
 Demand = The degree which executive leadership simply demands the change to occur.
– Depending on the degree of change, “demand” should be used as a last resort due to potential stakeholder resistance.
o How do you handle opposition or disagreement of the need?
• “Data” and “Demonstration” are only effective if the arguments are heavily weighted.
• Use the ABC model to answer the below questions for persuading the opposition:
 What are the opposing arguments? How do the weights of their arguments compare to yours?
 What other strong arguments (e.g., “rewards of acceptance” or “risks of rejection”) can be explored?
 How can your existing arguments be reinforced to give them more evidential weight?
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
5
Current state Transition State Improved State
Monitoring Progress
MobilizingCommitment
ShapingaVision
CreatingaSharedNeed
MakingChange Last
Systems and Structures
Leading Change

6. Shaping a Vision
o What is “Shaping a Vision”?
• Painting the Future or To-Be State after the change.
 The leadership (especially the Sponsor) must communicate the
vision of what the world will be like after the change initiative.
 Every journey must have a destination or else you risk
everyone wandering aimlessly.
• The vision must be clear, attainable, and widely understood.
 The end-state should not be described using business results, but
behavioral terms, i.e., observable, measurable terms.
 Define the vision in 1 to 3 sentences; keep it simple and direct (like an elevator speech).
 The vision should be clearly understood by every person (avoid having lots of individual visions).
 Ensure the vision isn’t too general or too complex; either can cause confusion.
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
6
Current state Transition State Improved State
Monitoring Progress
MobilizingCommitment
ShapingaVision
CreatingaSharedNeed
MakingChange Last
Systems and Structures
Leading Change

7. Mobilizing Commitment
o What is “Mobilizing Commitment”?
• It’s building a strategy to win support from key stakeholders.
 Springboard off the existing strong sponsorship, the identified
need, and the defined vision to rally stakeholder support.
 The objective is to build momentum so these stakeholders can
be the advocate for change that affects their area.
 If the change hasn’t been piloted yet, then identify stakeholders
who can be “early adopters” to test the change so you can identify
and fix unexpected errors or risks.
o How do you build the strategy to win stakeholder support?
• First, identify who your key stakeholders are.
 Use a Stakeholder Analysis to identify all possible stakeholders and their predicted level of support.
 For any stakeholder not considered “strongly supportive”, identify their potential source of resistance:
– Technical – They fear they lack the skills/resources to support change; it’s their nature; fear unknown, etc.
– Political – They fear a loss of power (e.g., influence, resources, authority, etc.); create power struggles, etc.
– Cultural – They fear change in general (“it’s not how we do things around here”); old cultural mindset, etc.
• Build a plan of what the order will be for communicating the change.
 Begin with the strongest supporters and aim first for the lowest level in leadership then to the highest.
– Often the highest level of leaders lean on their subordinate leaders input; if you acquire the lower support first, then you
can reinforce your message to the higher leaders that the subordinate leaders are already in agreement.
 Assign for each stakeholder the team member responsible for communicating the change.
 Consider exploring why any stakeholders may be against the change.
– This may not be necessary, but it can be done using the ABC model to evaluate how you can influence the stakeholders.
• Validate the strategy with the Sponsor.
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
7
Current state Transition State Improved State
Monitoring Progress
MobilizingCommitment
ShapingaVision
CreatingaSharedNeed
MakingChange Last
Systems and Structures
Leading Change

8. Making Change Last
o What is “Making Change Last”?
• Integrating the change to the rest of the organization.
 The prior steps in the CAP model lead up to the change.
 The remaining steps focus on making the change permanent.
 This requires transferring knowledge and best practices from
the change to other key (and even competing) initiatives.
 It includes building momentum by celebrating early successes.
• The change should be “baked in”.
 The change should not be something that’s quickly dropped once the organization gets in a pinch.
 The change should become part of the natural behavior of the organization, not just a desired behavior.
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
8
Current state Transition State Improved State
Monitoring Progress
MobilizingCommitment
ShapingaVision
CreatingaSharedNeed
MakingChange Last
Systems and Structures
Leading Change

9. Monitoring Progress
o What is “Monitoring Progress”?
• Measuring the results of the change.
 “You can’t improve what you can’t measure.”
 How do you know if the change is successful? There should be
clearly defined measurements that reflect the before/after state.
 The measurements should be real (objective) to ensure the
progress is real.
 Benchmarks and goals should be defined to ensure accountability
in measuring the progress.
• Ensure the measurements have “teeth”.
 It should be a cause for celebration when the measurements reveal the progress is successful.
 However, if the progress lags or declines, then there should be accountability to help turn it around.
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
9
Current state Transition State Improved State
Monitoring Progress
MobilizingCommitment
ShapingaVision
CreatingaSharedNeed
MakingChange Last
Systems and Structures
Leading Change

10. Changing Systems and Structures
o What is “Changing Systems and Structures”?
• Embedding the change into the organizational structure.
 The current systems & structure of an organization was
designed for the “As-Is” state prior to the change.
 If these systems & structures aren’t included in the change, then
they may undo the change and push everyone backwards.
– It will make the change look like the “flavor of the month”.
 The systems & structures of the organization may include:
– Human Resource issues (hiring, staffing, training, etc.)
– Management Issues (performance management, rewards/incentives, etc.)
– Communication and Documentation
– Organizational Design
– Information Technology Architecture (security, access, system design, integration, etc.)
• Identify how these systems & structures influence the changed behavior.
 Use a systematic approach to evaluate each system & structure that may directly or indirectly influence the
change.
 Modify all systems & structures that pose as a risk or resistance to the change.
– They should be modified to complement and reinforce the change.
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
10
Current state Transition State Improved State
Monitoring Progress
MobilizingCommitment
ShapingaVision
CreatingaSharedNeed
MakingChange Last
Systems and Structures
Leading Change

11. Practical Application
o Think of a few previous projects you worked on:
• How much of the “acceptance” piece of Q x A = E contributed to each project’s success or failure?
• In what way could more or better “acceptance” have made the project more successful?
• What were some of the buy-in obstacles or challenges that were encountered in each project?
 What could you do differently next time to prevent or overcome similar challenges in future projects?
Copyright © 2011-2019 by Matthew J. Hansen. All Rights Reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted by any means (electronic, mechanical, photographic,
photocopying, recording or otherwise) without prior permission in writing by the author and/or publisher.
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