Change Management Toolkit

A guide for Service Managers

 CONTENTS

INTRODUCTION
Change Management in Northumberland County Council

SECTION 2 – Set-up & Delivery Planning

Leadership Activities

Change Management Activities

Change Management Tool 1 – Force Field Analysis

Change Management Tool 2 – Fishbone Analysis
Change Management Tool 3 – Stakeholder Plan
Change Management Tool 4 – Communications Planning Workshop
Change Management Tool 5 – Change Readiness Questionnaire
Change Management Tool 6 – Business Impact Analysis

SECTION 3 – Project Delivery

Change Management Activities

Change Management Tool 7 – RACI Matrix

Change Management Tool 8 – Risk Assessment

SECTION 4 – Closedown & Review

Change Management Activities

Change Management Tool 9 – Change Focus Group Workshop

Change Management Tool 10 – Checklist for Measuring the Effectiveness of a Change Programme

SECTION 5 – Further Support

1 Change Management in Northumberland County Council
There can be little doubt that we are facing unprecedented change. Central government has set out a radical modernisation agenda, whilst
locally the County Council has embarked upon a challenging programme of change aimed at engendering a more customer focused,
performance driven culture – all at a time when the Region is about to vote on a form of devolved governance that will radically change the
shape of local government.

This programme of change is being delivered through a series of projects that have been created to produce specific outcomes and benefits.
The best way to ensure a project is successful is to use a methodology that encourages control over project resources (people, time, money)
and deliverables. Northumberland County Council has recently adopted MicroP2©, a MSPowerpoint-based application that provides guidance
and tuition for project managers. MicroP2 helps project managers to understand what they are responsible for and helps ensure that projects
are consistently managed. Please contact changeteam@northumberland.gov.uk for more information about MicroP2 and project management.

NTRODUCT
Change Management is a process that enables change to be introduced in the most effective and efficient way.

But project management alone will not produce successful change. Involvement – at all levels of the organisation – is essential if project

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benefits are to be realised. The techniques and good practices described in this handbook explain what’s expected of those responsible for
shaping and implementing change and give advice on how to go about ensuring successful delivery. These are presented as a logical

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sequence of activities which will help deliver the benefits of a change project or programme and are an amalgam of best practice from both
inside and outside of NCC.

1.1 How this handbook will help

Fundamentally this handbook aims to help enhance our change management. However, it is our people who will ultimately determine the
success or failure of change initiatives. Well managed change can result in:
 Increased Productivity – as employees apply specific strategies for staying on track and moving forward during times of change, without a
significant dip in business performance.
 Sharper Focus – on accomplishing key tasks as employees “gain closure” on the negative issues that can arise during major
organisational change.
 Greater Job Satisfaction – among employees as they identify their personal change challenges – and leverage the strengths they already
have.
 Stronger Teamwork – as employees learn how to work together to build and implement solutions that facilitate positive change.
 Improved Morale – as employees see that the organisation is committed to giving them the knowledge and tools they need to take charge
of their success during challenging times.
 Quick Results - a uniform approach to managing change will allow us, wherever we work in the County Council, to lead change in a way
that staff will recognise, understand and therefore be able to absorb more easily.

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 Sustainable Results – the effects of well-managed change will be positive and long lasting.

1.2 Change? That’s not my job!

Fig 1.
Oh, yes it is! Whether we are instigating change, shaping the
way it is planned, implementing it, or making it work – change is
an integral part of our job. It may not be explicitly stated in job
descriptions but it’s common to every job. The following diagram
(Fig 1) summarises the need for involvement at all levels in
order to make change work.

Of course, it’s not just about involving staff in change initiatives.

It’s important to recognise that different people will feel

NTRODUCT
differently about the planned changes. Many will feel threatened
or anxious whilst others will feel enthused and motivated.
Managers need to recognise how their staff are feeling and to

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accommodate these different feelings when introducing change.

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The “Transition Curve” (Fig 2) shows how people typically respond during periods of change. Effective change management helps support
people at the various points on the curve and reduces the more negative emotions associated with change.
Fig 2.
If we allow staff to “drift” through the implementation of change, they will spend
longer resisting change and become even more entrenched in their opposition to
it.

However, if we can recognise where individuals are on the transition curve then
we can tailor our communications and activities to show empathy and to support
them.

The objective is to maintain the productivity, self-confidence and morale of staff

during times of change and to shorten the time between the change event and
the active engagement and growth of the individual.

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1.3 Before you start…
Change should not be undertaken unless it has the potential to enhance performance. It’s worth taking the time to understand (and
communicate) what the benefits are and how various factors will be affected. We must take into account:

Organisation Structure The way teams, divisions & functions are organised, internal reporting lines, roles & responsibilities
Processes The way tasks & groups of activities are carried out in order to “deliver value” to our customers
Technology The technology tools that are available to staff and how they are deployed
Culture & People The unwritten ground rules that describe “the way we do things around here”
Services The services we offer to our customers and how we offer them
Customers & Community The “recipients” of our services

NTRODUCT
Groups

Remember that these effects may not always be apparent from the outset. It is therefore necessary to review and adjust plans regularly. As

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most changes demand that individuals do things differently, it is vital to secure the support and commitment of affected staff for change to be

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successful.

1.4 Using this handbook

Figure 3 below outlines the phases in a typical change project together with the associated project management and change management
activities during each phase. The handbook is divided into 3 sections aligned to these phases and provides a more detailed summary of the
change management activities and some suggested tools to assist you.

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Figure 3. Change Project Lifecycle and Associated Change Management Activities
Set Up and Delivery Planning Project Delivery Close-down & Review

Technology PROJECT MANAGEMENT ACTIVITIES

Processes Plan

Organisational Structure Embed

Design Implement
Customers & Environment Evaluate
Build
Culture & Staff

NTRODUCT
Public Services Test
n

n
e

c
e

s
r
f
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Political Business Process Development

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Diagnose need for change &
develop compelling case Establish team and
set up processes for Embed change into
Articulate vision & agree scope implementing change business as usual
of work against change
dimensions Monitor & evaluate
Monitor & ensure regularly
Define benefits, acceptance
CHANGE criteria and key milestones delivery to plan
Look for opportunities
MANAGEMENT for continuous
ACTIVITIES Map stakeholders & determine
appropriate implementation Accept transfer of improvement
approach operational
ownership Review approach &
Baseline key performance when pass on Best Practices
Indicators appropriate to other Directorates
Assess readiness &
capacity for Change

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2 Set-up & Delivery Planning E
The early stages of any change project are critical for the successful delivery of benefits. Time invested at this stage will significantly reduce the
amount of time spent “making the change work” during subsequent stages. Up to 70% of the project effort will be consumed during this stage.
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The project team will be involved with detailed activity planning which will embrace the design, building and testing of processes, structures,
systems and facilities. Service teams have a crucial role to play in influencing all of this activity and in ensuring that the project team produces
plans that are acceptable to service areas. This “business assurance” role involves a number of important activities. U
2.1 Leadership Activities P
For change initiatives to succeed it is vital that the change is owned and led by the service area being affected. Service managers are
responsible for integrating “business change” with “service delivery”, ensuring both activities are adequately resourced. At this stage of a
change initiative, change leaders can actively engage with the change in a number of ways:
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2.1.1 Diagnose Need for Change and Develop a Compelling Case for Change
The “Need for Change” is typically described in terms of
 The perceived THREAT to the organisation (i.e. “if we don’t change…”)
 The perceived OPPORTUNITY presented by the change (i.e. “if we change we will…”) P
The best “Cases for Change” help people understand “what’s in it for me?”. Key challenges include: L
 Getting people to accept that the current situation is untenable
 Getting people to accept that it will affect them personally A
 Getting people to develop a responsibility for, and willingness to, change.
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Therefore, your case for change should be customised for each key stakeholder group (a “stakeholder” is anyone who is affected by, or has an
interest in, the success or failure of the change). N
Change Management Tool 1 - Force Field Analysis I
Force Field Analysis (FFA) is a quick method of systematically identifying the factors supporting and resisting a proposal for change. There are a
wide variety of potential forces for change (drivers) and forces resisting change (barriers). N
By identifying the drivers for and barriers to change it is possible to determine what needs to be done to remove or weaken the resisting forces
and strengthen the supporting forces. G

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Factors Supporting Change
Modernisation Programme
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Step 1 - Brainstorm the forces that could help or hinder change, and use them to create a FFA chart.
Factors Resisting Change An example of the factors which could be in support of and resistant to a technological change
initiative, are shown in Figure 4.
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T
Initial Costs

Step 2 – Weight each of the factors using a scale of 1-10 to indicate the relative strength of each of
the drivers and barriers.
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Increased Productivity
Lack of skills

Better Customer Care

Step 3 – Focusing initially on the most highly resistant and least highly supportive forces, identify
Reduced Long Term Care Resources
actions which could be taken to improve overall support for the change. Remember, the idea is that
driving forces outweigh barriers to enable the change to progress. Draw up an action plan to
U EE
Fig 4 Force Field Analysis
implement them.
P TT
Change Management Tool 2 – Fishbone Analysis
Essentially a tool to identify the root cause of a problem, Fishbone Analysis (Fig 5) might very well help diagnose a need for change. Once & UU
again, this should be done with the support and involvement of staff from the affected service area.
PP
Chains of cause and effect link everything. Very often, it is clear which are the causes and which are the effects. However, when the situation
is complex, it is easy to confuse these and therefore we can end up dealing with the
wrong aspect of a problem.
P
People Structure Finance Strategy
 Step One – Describe the apparent problem; L &&
Problem
 Step Two – Brainstorm the issues and potential causes;
A
Definition  Step Three – Draw the diagram (onto a flip chart when in a group) and write in a
summary of the problem. Sort the information according to the categories by N PP
N LL
writing it on the relevant fishbone;
Process Legal Technology Culture  Step Four – Discuss each point and evaluate the extent to which it, or a category
as a whole, contributes to the overall problem. One way to do this is to score the
impact of each on a scale of 1-10.
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Fig 5 Fishbone Analysis
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Key Points
 Fishbone Analysis can be used by an individual or by a team.
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 Make sure that all ideas are recorded. You might be able to come back to some of the ideas later.
 The categories illustrated in Figure 5. are typical examples only, you will need to add and replace with your own ideas as required.

2.1.2 Articulate the Change Vision and Agree the Scope of the Work
Vision plays a key role in producing successful change by helping to direct, align and inspire the actions of large numbers of people. Without an
appropriate vision, a change effort can easily dissolve into a list of confusing, time-consuming and disjointed projects that appear to go in S
opposite directions.

By creating a shared sense of a desirable future leaders can motivate and co-ordinate the kinds of actions that create transformations. The key
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elements in the effective communication of a vision are:
 Simplicity – eliminate jargon and “technobabble”
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 Metaphor, analogy and example – a picture really does paint a thousand words!
 Multiple Forums – one size doesn’t fit all. Use every opportunity, medium, gimmick to help spread the word.
 Repetition – ideas sink in deeply only after they have been heard many times.
 Leadership by Example – model the behaviours that are consistent with the vision.
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 Explain inconsistencies – unaddressed, any apparent inconsistencies will undermine the credibility of all communication.
 Give and take – two-way communication is always more powerful than one-way communication.
P
It’s important to ensure that the boundaries of the change are clearly defined and firmly controlled and this is another function of the change
leader. A clear SCOPE will describe in quite specific terms what will be affected by the project as well as what will not be affected. Scope will
usually consider the following impacts, although the list is not exhaustive: &
 Customers – not all customer groups will be affected. Be as specific as possible, and include matters such as communications.
 Staff – which Directorates/Divisions/Teams will be impacted? Will they need training? Again, what about communications?
 Other Stakeholders – Will other interested parties be affected? Communications?
 Processes – which of our processes are being affected – either directly or indirectly? P
 Systems – will the change address the need for new IT systems?
 Facilities – is there an impact on premises and/or facilities? L
A clear scope is essential if staff are to fully understand and trust the changes they are being affected by. There should be no surprises. Any A
evidence of “out of scope” work should be challenged immediately – if a scope change is necessary the project team will follow a process to
have this formally agreed. N
2.1.3 Change Leadership Style N
Successful implementation of new initiatives depends on providing direction and adopting the confident, skilled and credible leadership style
required to lead change. As leader you must be able to address, wherever possible, others fears and issues. You need to INSPIRE, I
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MOTIVATE and GUIDE your team to achieve. Your leadership style will be one of the main influences on the culture of the organisation. You
will need to be a positive role model as a leader of change, and you will need to be:
 Decisive and willing to take action;
 Receptive to and respectful of the thoughts and feelings of others, ensuring two way communication;


Open and honest and ready for personal change and continuous learning;
Open to feedback and willing to provide formative feedback to others; S
 Challenging yet supportive in dealing with people at all levels.
 Clear and motivational in all communications; E
In doing so you will be required to:
 Use listening and questioning skills; T
 Ensure communications are co-ordinated and consistent

If your team is not considered during the planning stages of an initiative, then the costs in terms of time, productivity and morale can be
considerable, and may even impact upon your customers. Planning for the people aspect of a change is therefore just as vital as planning for U
the process changes.
Areas for consideration should be to: P
 Communicate at a suitable pitch for your audience;
 Put change into context by giving background reasons for desired action;


Address the personal implications of change for those affected, and deal with their reactions;
Include your team wherever possible in the planning process;
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 Ensure that plans are realistic and sensitive to the impacts upon your team;
 Identify training needs.

P
2.2 Change Management Activities L
Early involvement of staff from all levels will serve to underline the importance of the change being considered and to build support and
commitment to its success. At this early stage the emphasis is on setting the ground rules for a successful relationship between the project
team and the service area. Staff should be encouraged to participate in the following activities:
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2.2.1 Define Benefits, Acceptance Criteria & Key Milestones
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As a key stakeholder in the change process, the affected service area has a role to play in defining business benefits arising from the change.
These will usually be expressed in 3 ways – what will be done, what will change and finally what difference will it make? The following diagram
(Fig. 6) demonstrates these 3 types of benefit:

In general, project teams will be most concerned with

Implementation Measures
What was done?
•Milestones Achieved
•On Time
“Implementation” Measures whilst service areas are most concerned
about “Impact” and “Effect” measures. However, it’s important that all
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•To Quality
•Within Cost
benefits are identified at an early stage so that an objective
assessment of the success of the project can be made.
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Impact Measures
What has changed?
•Staff Training
•New System Up-Time
Acceptance Criteria are usually derived from the “Impact Measures” T
•Customer Satisfaction Increased
section of the Benefits plan. They describe the minimum conditions
•New Programme In Use acceptable to the service area before a project can be regarded as
complete. Generally it is the responsibility of the service area to drive
Effect Measures
Has it made a difference?
•% Customers Retained
•Improved Customer Experience
the delivery of “Effect Measures” once a project has closed. U
•Cash Flow Improved
•Greater Front line staff efficiency
Figure 6. Benefits Tracking
By specifying Key Milestones it is possible to assess the progress of
the change project and also to generate some “early wins” which can
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help maintain morale and momentum.

2.2.2 Baseline Key Performance Indicators

Key Performance Indicators are derived from the Acceptance Criteria. By establishing a baseline level of performance it is possible to track the
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delivery of benefits and ensure that corrective action is taken where necessary.

2.2.3 Map Stakeholders & Determine Appropriate Implementation Approach

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A stakeholder is any individual or group that has an interest in the success or failure of the change project. Without identifying who the project
will affect, the project will not be able to take their needs into consideration. This may inevitably result in resistance and therefore stakeholder
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assessment should become an essential part of the preparation process. A
There are various ways in which changes might be implemented. It’s important that the service area is able to recommend an implementation
approach that fits its own circumstances and requirements. Some questions to ask in determining this are: N
 Should the changes be made ‘Big Bang’ or in a phased way? N
 By when must the changes be completed?
 Will we pilot any changes? I
 How much development effort is required before we can start implementation?
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 What is the experience of making change here?


What does the strength of driver say for the pace of change?
What are the largest risks which the plan must mitigate?
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 To what extent are quick wins a consideration?
 By what mechanism will benefits be delivered?
 How can we make best use of the internal resources? S
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Use these and other questions to invite feedback from staff and pass this on to the project team.
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Change Management Tool 3 – Stakeholder Plan
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Knowing who has a stake in the project, and proactively managing relationships with them, will allow you to:
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
Identify stakeholders reactions to change and the effects on the project;
Identify potential ‘blockers’ and ‘supporters’ of the change. The aim here will be to minimise the number of your ‘blockers’ by resolving their U

negative issues;
Gain a more robust understanding of political barriers to implementation; P
 Establish important data to be included in the communication strategy.

Once stakeholders have been identified, they can be categorised in terms of their ‘power’ and ‘interest’ (see Fig. 7).
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&
A
Blockers Undecideds Champions
The key group to target for support of your initiative are those with a high level of
power and a high level of interest. It is important to try and align your plans with the N
Level
High
Keep Checking Key Group
aims and interests of these key stakeholders.
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of
Power
Medium

Not Relevant
If a group of stakeholders has a lot of power, but little interest in your project, it may
be necessary to raise their interest and enlist their support. L
A
Low
Low Medium High
If you cannot shift their level of interest, you should at least attempt not to attract the
Level of Interest
opposition of this group.
Fig 7. Stakeholder matrix
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Workshop
Change Management Tool 4 – Communications Planning N
The Project Team is responsible for building and delivering the project’s communications plan, so it’s essential that the needs of the service I
area are accurately reflected. Consider running a communications planning workshop to engage staff in defining the communications
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requirements of your service area. Remember to think about the needs of your customers if they are impacted by the change. The following
template should prove useful:
Stakeholder Objectives Mechanism & Medium Timing Responsibilities Measure
Who is this What is the What is the best forum / When should Who is responsible Did we achieve the
communication purpose of this medium for achieving this intervention for this intervention? objectives?
aimed at? intervention? this? take place?
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2.2.4 Assess Readiness & Capacity for Change
Main question
Who are the key groups / people to be impacted by the project and how will they react at each major milestone (emotionally, behaviourally etc.)?
It’s a good idea to maintain
Supplementary a sense of momentum and interest in the planned change whilst at the same time identifying any issues which have
questions
previously been overlooked.
How have you assessedA this?
“Change Readiness Questionnaire” provides a means for engaging a wider group of staff.
How have you articulated the reason for the change?
Change Management Tool 5 - Change Readiness Questionnaire
Which stakeholder groups are not affected?
2 questionnaire is designed to gauge the required degree of active change management, as well as introducing and sharing knowledge and
The
best practice with the project team. It is also designed to raise awareness and understanding of the need for change management among
Main question
Project At these keyand
Managers milestones,
Service what will be –
Managers theand
impact on thesome
to avoid organisation
classic /change
structure, processes, systems,
management pitfalls. people, culture?
Supplementary questions
The Questions
Will there be any significant impact on customers and suppliers?
Will the changes impact Northumberland County Council’s services?
3 Main question
As these changes are implemented, what plans are in place to ensure that the changes happen (organisation and job design, culture, skills, motivation,
IT, HR policy etc.) and to manage reaction to the changes?
Supplementary questions
What is the political situation in the affected areas?
What are the arrangements for balancing the resourcing needs of the business against those of the project team during the change process?

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Contents Section 3 - Stakeholder Management
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Main question
Have the people impacted been through changes previously? If so, what was the experience and what can we learn from it for this project? E
Supplementary questions
Describe the specific events that made up good / bad aspect of previous change projects.
Describe the make-up of the change team in previous projects.
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How was resourcing / skills transfer managed?

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Main question
How would you define the culture (“the way we do things around here”) within the affected areas?
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Supplementary questions
How will this act as a barrier or an enabler to the change?
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Main question
Have stakeholders been informed of the plans for change? If not, what are your plans for communication? If yes, how have you done this and how
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are you assessing whether the message is being received and understood?
Supplementary questions
Do impacted people recognise that they are being communicated with?
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Do others (unaffected people) recognise that communication is taking place?
How are impacted people being involved in the change?

Main question
What media are you using for communication, and what is most effective?
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Supplementary questions
How do you know that these media are / are not effective?
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Which are the most / least effective forms of communication within the Northumberland County Council?
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Main question
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What measures are in place to assess whether the business benefits of the change are being achieved?
Supplementary questions
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How do you propose to measure performance or the achievement of the project’s objectives?
How clearly are the business benefits defined? N
Main question
What is happening in other Directorates with regard to change management?
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Supplementary questions
What should other Directorate managers know about what is going on in your project / are there any interdependencies?
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Main question G
What support are you getting from your management team, sponsor etc?
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Supplementary questions
What specific actions are they taking to support you / your project?
Is this sufficient or are there areas that could be improved?
How much do they really understand about your project?

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These questions will allow you to establish the general level of readiness for the planned change and to demonstrate that, in general terms, “we S
are ready”. However, a deeper understanding of the impact of the proposed change on service areas is required before a project can move into
the “Delivery” phase. A Business Impact Analysis allows you to assess the capacity of your service area to absorb the planned change at any E
given time, by overlaying change plans with day-to-day service delivery plans. This gives an aggregate view of activity and impact on
resources, allowing considered decisions to be taken about the timing of change implementation and the prioritisation of activities to meet
available capacity.
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Change Management Tool 6 - Business Impact Analysis
Business Impact Analysis is essentially a means of systematically assessing the potential impacts resulting from various events or incidents. U
Instructions P
 Service Areas complete the template on the basis of what known activities (change and service delivery) are going to
impact them over an agreed time period
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
Degree of impact column: Rate each event as 1 (low impact) or 2 (medium impact) or 3 (high impact).
Low = need an awareness of it Medium = requires some change to how you do your job High = requires a significant &
change to the way you do your job and probably a mindset change too.
 Identify the plans in place or required to meet the needs of each activity (e.g. new IT systems will require some training
and communications and may also involve the creation of new posts or the removal of old ones).
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Project: Completed by: L
Event Stakeholders Nature of Impact Degree of Plans in place or plans required to address A
Impacted Narrative impact* (incl. benefits case for staff, customers etc.)
Organisation Training Communication N
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* 1=Low, 2=Med, 3=High. F=Firm, V=Vague, O=Ongoing
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N
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 Build a wall chart with post it notes showing the timing of known or required plans and the activities required. E

impact).
Assess the impact of each activity in terms of its effect on resources (use a weighting scale to indicate whether high/medium/low
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 Plot the activity along the timeline to indicate aggregate impact on capacity (activity blocks should reflect 1, 2 or 3 units of
resource to indicate low/medium/high impact)
 Use the analysis to raise any concerns about capacity within your service area to absorb change.
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Time
Communication

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Training
Organisation

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1.1.1 A
1.1.2 N
Impact

1.1.3 N
1.1.4 I
Time
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We’ve looked at the Change Management activities required during the “Set up” And “Delivery Planning” stages of a change project. The next
section deals with Change Management during “Project Delivery”.
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3 Project Delivery P
This is the point in the project where the impacts of the change begin to be felt. Hopefully any negative effects will have been anticipated and
minimised through effective change management during the Set-up and Delivery Planning stage. Certainly staff should have progressed some
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way along the transition curve and will hopefully be starting to engage more positively with the change.
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3.1 Change Management Activities
Whilst the project team is focused on implementing the changes there are a number of activities taking place within service areas to ensure that
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implementation is a success.
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3.1.1 Establish Team and Set Up Processes for Implementing Change
The roles that exist within a project tend to be clearly defined, largely because a project is a temporary organisation that is created for a specific
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purpose. Change Management roles, however, are less clear. The following roles and responsibilities should be considered by the service area
being affected by the change:
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Role Description
Senior Responsible Owner The Chief Officer / Senior Manager within the Directorate who is ultimately responsible for accepting all
deliverables (or products) of the project on behalf of the service area. Will usually have a seat on the Project
D
Change Manager
Board.
The person responsible for the actual implementation within the service area. Will work closely with the
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Project Manager to provide quality assurance of the project deliverables. Coordinates the activity of a team of
Change Agents (see below) to influence the project, ensuring that the needs and views of the service area are
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represented.
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Benefits Delivery Manager The person responsible for the identification, planning, monitoring and ultimate achievement of benefits
associated with the change. This role will continue until all desired benefits are achieved or abandoned. V
Change Agents Members of staff from the service areas being affected by the change. Their role is to help plan and implement
change “at ground level” and to provide a “reality check” for Change and Project Managers based on their E
technical and service expertise. Change Agents act as a communication channel for key messages and help
to identify and resolve technical, functional and organisational risks and issues. R
It’s important that all staff involved in the preparation for and implementation of change have a clear understanding of what is expected of them. Y
The following tool should help:

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Change Management Tool 7 – RACI Matrix P
The RACI matrix is a method of responsibility charting. It is a means of establishing work responsibilities and relationships to enable people to
understand their role and what is expected of them. RACI stands for: R
Responsibility, Accountability, Consult, Inform, O
This is useful because it helps reduce duplication and wasted energy. Clarity through this type of planning can ensure individuals know exactly
what is expected of them. J
Procedure E
Step One – Brainstorm the activities, tasks and actions that are necessary to achieve the goal. Using the grid below, enter these tasks in the C
left hand column.
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Task / Activity Individual / Team
A B C D E etc
1
2
3
D
4 etc E
Step Two – Identify all those who have a contribution to make to each action using the columns marked A – E etc.
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Step Three – At this stage you can now determine what type of involvement is required by each individual / team. I
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Responsibility, for seeing that tasks or actions are completed.
Accountability, for the actions / tasks, with rights of approval and veto. The decision makers.
V
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
Consult, and ask for input, but with no rights of approval or veto.
Inform, of the actions / tasks being undertaken, with no rights of approval or veto.
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When completing the grid, apply the following rules: R


Do not assign more than one letter to each box;
There should ideally never be more that two R’s against an activity, i.e. only one person is responsible for a task;
Y
 Minimise the A’s – these will slow down progress;
 Ensure that the C’s are used prudently. Too much consulting will slow progress, as will not enough;
 Use I carefully, ensure that the person can be informed after the action completed and does not have power of veto.

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Step Four – Review the grid to ensure correct. Consult with colleagues or your line manager if required.
P
Step Five – It is now essential that you inform the individuals / teams of their roles and responsibilities. R
Another aspect of change management where service areas have a vital role to play is in the identification, evaluation and prioritisation of risks
(a risk is defined as a threat to the success of the project or the operation of the service area).
O
Change Management Tool 8 – Risk Assessment
J
Risk Assessment provides the opportunity for risks to be identified, evaluated and recorded, so that they can be properly managed. E
Step 1 - Risk Identification
Involves staff in identifying the threats posed by the change, to the ability of the service area to achieve its objectives.
C
Step 2 - Risk Evaluation
T
Seeks to classify all risks identified according to their impact and the likelihood that they will occur.

Qualitative measures of Consequence or Impact Qualitative Measures of Likelihood D

Level
5
Descriptor
Catastrophic
Example detail description
Death, toxic release off-site with detrimental
Level
5
Descriptor Example detail description
Almost certain Is expected to occur in most E
effect, huge financial loss circumstances
4 Major Extensive injuries, loss of production 4 Likely Will probably occur in most L
capability, off-site release with no circumstances

3 Moderate
detrimental effects, major financial loss
Medical treatment required, on-site release 3 Possible Might occur at some time
I
immediately contained with outside
assistance, high financial loss
V
2 Minor First aid treatment, on-site release
immediately contained, medium financial
2 Unlikely Could occur at some time
E
1 Insignificant
loss
No injuries, low financial loss 1 Rare May occur only in exceptional R
circumstances
Y
N.B. Express “Consequences” in terms of:
Financial Impact; Impact on Reputation (PR, public perception); Impact on Staff (dissatisfaction / welfare erosion); Impact on Services;
Regulatory / Legal Impact (failure to comply with legal, regulatory or contractual commitments)

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Step 3 - This information is then used to identify the respective priority for addressing risks P
Risk Priority
5 Impact or
Consequence
5
mod
10
high
15
high
20
extreme
25
extreme
R
Low: Low risk; managed by routine procedures
4 4
mod
8
mod
12
high
16 high 20
extreme O
Mod: Moderate risk; management responsibility must be specified
3 3 low 6
mod
9
mod
12 high 15 high
J
2 2 low 4 6 8 mod 10 high
High: High risk; senior management attention needed
mod mod E
1 1 low 2 low 3 low 4 mod 5 mod
Extreme Extreme risk; immediate action required
1 2 3 4 5
C
Likelihood T
Step 4 Risk Register - Having prioritised risks, they should be documented within a risk register so that there is a permanent record that can
be used to assist decision making and action planning. The aim is to ensure that for every risk, there is an appropriate control so that the threat
to the organisation is minimised. D
E
Ref The Risk: The consequences of an event Adequacy of Consequence Likelihood Level of Risk
What can happen and how
it can happen
happening
consequences likelihood
existing controls rating
(1 to 5)
rating
(1 to 5)
Risk
(1 to 25)
Priority L
I
Date Lack of project funding
could detract from the
V
effectiveness of the review
E
R
Tips
• Make sure you assess risks across individual projects / departments / directorates - i.e. stop silo thinking and think about inter-related Y
risks.
• Involve all key stakeholders in the assessment and mitigation of risks.
• Ensure clarity of understanding in defining the risk, assessing the impact, probability and the resultant mitigating actions.

18
 P
• Build a robust risk/issue resolution process with a short chain of command.
•
•
Document potential risks in the Risk Register even if they look unlikely to turn into real issues.
Use a Prioritisation Grid to ensure you tackle the risks in the most effective and efficient manner and in the order that has the most
R
•
impact.
Arm individuals with responsibility, authority and resources for mitigating particular risks.
O
•
•
Monitor progress on a regular basis by reviewing the Risk Register at team meetings.
Communicate the risks (appropriately) to get attention
J
E
3.1.2 Monitor and Ensure Delivery to Plan
Essentially monitoring is needed on 3 levels: monitoring of the actions needed to ensure successful implementation; monitoring of the
C
achievement of Acceptance Criteria (since these determine the point at which the transfer of operational ownership can be considered); and
monitoring “Business Continuity” – ensuring that service performance is maintained throughout transition.
T
Ensuring that productivity, quality and customer service do not drop beyond (pre-agreed) tolerable levels, is an essential part of the change
manager’s job. Issues to be regularly tracked are:
D
 Need for cover for displaced and absent staff


Changes in assigned work or roles during transition
Need for cover during office changes
E


Need to maintain adequate process controls
Unplanned – resignations / major unplanned business activity
L


Ensuring co-ordination of customer contact during transition
Preventing too much resource being assigned to the change process.
I
V
3.1.3 Accept Transfer of Operational Ownership
Transfer of operational ownership can be agreed when:
E
 All project deliverables produced by the project team assured for quality and accepted by the service area;
 All Acceptance Criteria satisfied;
R
 All project risks eliminated, mitigated (offset), transferred or accepted by the service area; and
 All project issues satisfactorily closed or accepted by the service area.
Y
Staff from the service area should be encouraged to participate in this assessment.

Transfer of operational ownership marks the end of the Project Delivery stage.

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 C
L
4 Close-down & Review O
Following a period of post-live support the project will formally disband – leaving service areas to drive delivery of the benefits of change. S
4.1 Change Management Activities E
A number of change management activities are appropriate in the aftermath of change projects:
D
4.1.1 Embed Change into Business as Usual O
Change only sticks when it becomes “the way we do things around here”. There must be a conscious attempt to show how specific attitudes
and behaviours have helped to improve performance – drawing clear (even exaggerated) connections between the change and subsequent W
good performance.
N
It’s also essential to ensure that the approach to change management is embedded. Change is continuous and we certainly don’t want (or
need) to reinvent the wheel each time a new change comes along. The tools included in this guide are a useful starting point, but remember
that expectations will increase over time and this may mean adopting different, more sophisticated models. &
4.1.2 Monitor & Evaluate Regularly
Remember also that goalposts often move! The changes we have introduced may well have produced the desired level of performance initially,
but what do we do if a further step-change in performance is now needed? Monitoring and evaluation will also help identify any rejection of the
R
change or relapse to discarded practices. Acceptance Criteria should reflect service priorities and should therefore be kept under constant E
review.
V
4.1.3 Look for Opportunities for Continuous Improvement
Nothing succeeds in overcoming resistance to change better than a well-managed and successful change initiative. Use change proactively as
I
part of an ongoing Continuous Improvement process. The following tips are aimed at encouraging a continuous improvement mindset: E
 Visibly implement CI mechanisms W
 Visibly recognise individuals who suggest or make improvements
 Provide a clear mandate for people to make improvements
 Reflect CI responsibilities within the performance management process
 Find reasons to say “yes” or to build on suggestions, rather than saying “no”
 Don’t discount ideas just because they aren’t quick or easy – and regularly revisit ideas you’ve previously rejected (times change!)
 Make sure that everyone is encouraged to contribute ideas

20
  Seek out issues and problems – they represent opportunities for improvement!
 Build a mechanism for identifying and absorbing good practice from other Directorates or organisations
4.1.4 Review Approach & Pass On Best Practice
C
ContentsThe final act of the change project is to undertake a “Post-Implementation Review” and this is an important opportunity to identify learning L
points for the benefit of future change initiatives. Remember also that other Directorates may benefit from the lessons you have learned in
implementing this change – build a mechanism for sharing good practice and learning points. O
Section The final two tools should assist with this review and the identification and dissemination of best practice.
S
Change Management Tool 9 - Change Focus Group Workshops
Concepts - Balloon Model
E
Objectives: D
• Gain feedback on effectiveness of change programme O
Specifically to identify whether the stakeholders have visibility of change management activities, whether they believe they are effective
List of tools
•
and their opinions on the results of how the process has been managed W
• Identify suggestions for improvements to the process
N
Attendees:
Facilitator - should ideally be independent of the line management
&
Delegates – should represent a diagonal slice of the organisation (all levels, all functions). Thought should be given around the inclusion of
very senior people as their presence may inhibit the comments of others – it is sometimes preferable to capture the views of senior people
through a separate interview.
R
Scope:
IN OUT
E
V
Stating feedback on change management programme Personal criticism I
E
Ideas for improving the process Evaluation of people’s comments (no problem with others
stating opposing views though) W
Non Attributability pact General whinges which have no bearing on change process

21
 C
L
Agenda Section Outcome Mechanism Timings Who O
Workshop Set Up Clear understanding of purpose of Presentation: 30 mins Facilitator S
workshop and establishing an Objectives and agenda.
environment where people are Introductions. E
comfortable to openly state their
views
Rules for focus groups.
Trust Exercise: D
Icebreaker
O
Impact Gain feedback on visibility of
change management activities
Chaired discussion:
What communications did you see?
20 mins Group W
What training did you receive? N
What did people tell you?

Effect Gain feedback on how well people Chaired discussion: 20 mins Group
feel change has been managed How well managed did you think the &
change was?
What disruption did you feel?
Were you able to do your job as well
as before?
R
E
Potential Improvements Identify areas for improvements Brainstorming session: 20 mins Group
Ideas for Improvements. V
Cluster and prioritise.
I
Next Steps Advise people on how their
feedback will be used.
Presentation of improvement
process.
10 mins facilitator
E
W

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 C
Change Management Tool 10 – Checklist for Measuring the Effectiveness of a Change Programme
Refer to the Benefits Plan and assess Implementation, Impact and Effect Measures using the following checklist:
L
O
 Implementation Measures
o SOURCES – Project Plans v. Actuals (time, cost, quality) S
o QUESTIONS
 How rigorours was planning? Was enough attention paid to the planning process? Any major gaps? E
 Did you deliver the plan? Were milestones hit? Did the right people attend events / training?
D
 Impact Measures O
o SOURCES – Focus Groups, Interviews, Surveys, Informal feedback, Project Reviews, Observation
o QUESTIONS W
 Did messages get through?
 Did people feel involved? N
 Did people like the way the change was managed?
 Are people adopting the new ways of working?
&
 Effect Measures
o SOURCES – Business case v. actual KPI performance, productivity measures
o QUESTIONS
 What level of disruption did we experience?
R
 Are the targeted benefits being realised? E
V
I
E
W

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 F
5 Further Support
U
This guide has been compiled by the Change Management Team, based on good change management practices that we have collectively R
been exposed to (both within and outside of the public sector) and on extensive research of change management practices.
T
Further support and guidance on the use of these tools is available by contacting changeteam@northumberland.gov.uk.
H
If you have any experience of managing change that you think would enhance this guide and help your colleagues to manage change more
E
effectively then please let us know. R

“We have to become the change we want to see” S

Mahatma Gandhi U
P
P
O
R
T

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