ACMP_Standard_2019_03_21.pdf

A publication of: The Association of Change Management Professionals® (ACMP®) Standard for Change Management© and ACMP Change Management Code of Ethics FIRST EDITION Printed with the support of the following companies: Copyright © 2019 Association of Change Management Professionals® (ACMP®) All...

A publication of: The Association of Change Management Professionals® (ACMP®) Standard for Change Management© and ACMP Change Management Code of Ethics FIRST EDITION Printed with the support of the following companies: Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved Table of Contents PART I: STANDARD FOR CHANGE MANAGEMENT©  1 Disclaimer and Notice 2 Foreword 3 Acknowledgements 4 Introduction 5 1 Scope 5 2 Normative References 5 3 Terms & Definitions 6 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 3.15 3.16 3.17 Adoption Benefit Change Change Impact Change Management Change Risk Change Saturation Competency Engagement Governance Outcome Readiness Resistance Sponsor Stakeholder Sustainability Vision 6 6 6 6 6 6 6 7 7 7 7 7 7 7 7 7 7 4 Concepts 8 4.1 4.2 4.3 4.4 4.5 4.6 4.7 8 9 9 10 11 11 12 5 Change is a Process Relationship to Strategic Planning Types of Organizational Change Relationship to Project Management Organizational Change and Individual Change Change Management Roles and Responsibilities Organizational Alignment and Change Management Change Management Process 5.1 Evaluate Change Impact and Organizational Readiness 5.1.1 Define the Change 5.1.2 Determine Why the Change is Required 13 14 15 15 5.1.3 5.1.4 5.1.5 5.1.6 5.1.7 5.1.8 5.2 5.3 5.4 5.5 Develop a Clear Vision for the Future State Identify Goals, Objectives, and Success Criteria Identify Sponsors Accountable for the Change Identify Stakeholders Affected by the Change Assess the Change Impact Assess Alignment of the Change with Organizational Strategic Objectives and Performance Measurement 5.1.9 Assess External Factors that May Affect Organizational Change 5.1.10 Assess Organization Culture(s) Related to the Change 5.1.11 Assess Organizational Capacity for Change 5.1.12 Assess Organizational Readiness for Change 5.1.13 Assess Communication Needs, Communication Channels, and Ability to Deliver Key Messages 5.1.14 Assess Learning Capabilities 5.1.15 Conduct Change Risks Assessment Formulate the Change Management Strategy 5.2.1 Develop the Communication Strategy 5.2.2 Develop the Sponsorship Strategy 5.2.3 Develop the Stakeholder Engagement Strategy 5.2.4 Develop the Change Impact and Readiness Strategy 5.2.5 Develop the Learning and Development Strategy 5.2.6 Develop the Measurement and Benefit Realization Strategy 5.2.7 Develop the Sustainability Strategy Develop the Change Management Plan 5.3.1 Develop a Comprehensive Change Management Plan 5.3.2 Integrate Change Management and Project Management Plans 5.3.3 Review and Approve the Change Management Plan in Collaboration with Project Leadership 5.3.4 Develop Feedback Mechanisms to Monitor Performance to Plan Execute the Change Management Plan 5.4.1 Execute, Manage, and Monitor Implementation of the Change Management Plan 5.4.2 Modify the Change Management Plan as Required Complete the Change Management Effort 5.5.1 Evaluate the Outcome Against the Objectives 5.5.2 Design and Conduct Lessons Learned Evaluation and Provide Results to Establish Internal Best Practices 5.5.3 Gain Approval for Completion, Transfer of Ownership, and Release of Resources 16 16 16 17 17 18 19 19 20 20 21 22 22 22 25 26 27 28 28 30 31 32 32 39 40 40 40 41 47 48 48 48 50 Appendix A: ACMP Statement of Change Management 51 Appendix B: Process Groups Mapped to Subject Groups 54 5.1 5.2 5.3 Evaluate Change Impact and Organizational Readiness Formulate the Change Management Strategy Develop the Change Management Plan 55 56 57 5.4 5.5 Execute the Change Management Plan Complete the Change Management Effort Change Initiative Scope Communication Leadership/Sponsorship Engagement Learning and Development Measurement and Benefit Realization Resource Management Risk Management Stakeholder Management and Engagement Sustainability PART II: ACMP CHANGE MANAGEMENT CODE OF ETHICS 58 59 60 61 61 62 62 63 63 64 64 65 Alignment to ACMP’s Vision 66 I. 66 Purpose of ACMP’s Code of Ethics II. Alignment of ACMP’s Ethics to the Change Management Standard 66 III. Scope of Coverage 67 Structure of the Code Mandatory Conduct IV. ACMP Ethical Standards 4.1 4.2 4.3 4.4 4.5 Duty of Honesty Honesty in Communications Honesty in Conduct and Behavior Duty of Responsibility Duty of Fairness Duty of Respect Duty of Advancing the Discipline & Supporting Practitioners V. Adjudication and Appeals Process 67 67 67 67 67 68 68 69 70 70 71 Standard for Change Management© Part I: Standard for Change Management© Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 1 Standard for Change Management© Disclaimer and Notice The information in this publication was considered technically sound by the consensus of those who engaged in the development and approval of the document at the time of its creation. Consensus does not necessarily signify unanimous agreement among the participants in the development of this document. The Association of Change Management Professionals® (ACMP®) Standard for Change Management©, herein referred to as ACMP’s Standard, was developed through a voluntary consensus standards development process. This process brings together volunteers and/or seeks out the views of persons who have an interest and knowledge in the topic covered by this publication. Although ACMP administers the process and establishes rules to promote fairness in the development of consensus, it does not write the document, and it does not independently test, evaluate, or verify the accuracy or completeness of any information contained in its standards publications. ACMP is a nonprofit individual-membership association with no regulatory or licensing enforcement power over its members or anyone else. ACMP has no authority to monitor or enforce compliance with the contents of this document, nor does it undertake to monitor or enforce compliance with the same. ACMP does not list, certify, test, inspect, monitor, or approve any policies, practices, or organizations for compliance with its standards; it merely publishes standards to be used as voluntary guidelines that third parties may or may not choose to adopt, modify, or reject. Any certification or other statement of compliance with any information in this document shall not be attributable to ACMP and is solely the responsibility of the certifier or maker of the statement. ACMP does not accept or undertake a duty of care to the general public regarding the Standard. ACMP disclaims any and all liability for any personal injury, property, financial damage, or other damages of any nature whatsoever, whether special, direct, indirect, consequential or compensatory, directly or indirectly resulting from the publication, use of, application of, or reliance on this document. ACMP disclaims and makes no guaranty or warranty, expressed or implied, as to the accuracy or completeness of any information published herein and disclaims and makes no warranty that the information in this document will fulfill any person’s or entity’s particular purposes or needs. ACMP does not undertake to guarantee the performance of any organization or its employees, products, or services by virtue of this standard. In publishing and making this document available, ACMP is not undertaking to render legal, professional, or other services for or on behalf of any person or entity. Anyone using this document should rely on his or her own independent judgment or, as appropriate, seek the advice of a competent professional in determining the exercise of reasonable care in any given circumstance. Information and other standards on the topic covered by this publication may be available from other sources, which the user may wish to consult for additional views or information not covered by this publication. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 2 Standard for Change Management© Foreword In 2014, the Standard for Change Management© was published after a two-year, rigorous process led by an international task force; those original Standards Working Group members are honored on ACMP’s website today. As part of their process, the Standards Working Group invited all of ACMP’s members to review and comment on drafts. Additionally, ACMP’s members were invited to forward those drafts to anyone they knew to get even broader reviews and comments. The approach to developing the Standard was remarkably inclusive. Change Management practitioners know the power of inclusion. developed in the way this one was, put that argument to rest, removing that barrier to doing our work. At the same time, we recognize that the way we apply the Standard today continues to evolve with the realities of digital transformation, agile development, harnessing of data science, personalization and other disruptive forces. We are committed to supporting change management practitioners in applying the Standard in the context of these and other trends, and our ACMP Strategy 2020-2022 addresses this directly. At the same time, we recognize that The Standard for Change Management the way we apply the Standard today represents debate and perspectives from around the world. Think about the variety continues to evolve with the realities of perspectives represented: All industries, of digital transformation, agile for-profit, non-profit, academic, smalldevelopment, harnessing of data to-extremely-large businesses, internal science, personalization and other organizational roles, and consultants also expertise from adjacent disciplines, like Project disruptive forces. Management, Organizational Development, Leadership Development, Communications, Learning and Human Resources. The two I personally love the Standard and all it years invested to create the Standard were well represents. I carry my own dog-eared copy worth it. around with me to share when the opportunity comes. No longer do I have to convince anyone It’s because of this approach that the Standard that there is a definition. The Standard gives has credibility. It could have been created me and my work credibility. I am grateful that by a small group of experts, but it wasn’t. Its ACMP decided years ago to make this strength flows from this diverse involvement. a priority. The Standard also does something else: It We’ve published this Standard online to invite helps us do our work. In the early days of you to use it and to share its content and its Change Management, practitioners and story with others. It’s for you. leaders would be heard to say, “everyone has their own definition of Change Management.” A definition of Change Management was a missing piece in the foundation of the discipline and therefore put into question Roxanne M. Brown whether or not the discipline, and certainly ACMP President the profession, could be seen as legitimate. Having a professional Standard, which was Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 3 Standard for Change Management© Acknowledgements The Association of Change Management Professionals® (ACMP®) recognizes the efforts of many volunteers and individuals who assisted with the creation and refinement of ACMP’s Standard for Change Management©. ACMP volunteers, from the original thought leaders who worked with ACMP’s initial Certification Task Force to the current Standards Working Group (SWG), have contributed, debated, and refined ACMP’s Standard. ACMP Board Liaison: Rick Rothermel SWG Chair: Sumreen Ahmad SWG Vice-Chair: D. Scott Ross SWG Technical Editor: Austin Kirkbride SWG Associate Technical Editor: Debra Noyes SWG SUBGROUP LEADERS: Terms and Definitions Group: Evaluating Change Impact and Organizational Readiness Group: Formulating Change Management Strategy Group: Karen Barnett Bill Mullins Theresa Moulton Developing Change Management Plans Group: Andrea Grossman Executing Change Management Plans Group: Mark Bolton Complete the Change Management Effort Group: Debra Noyes SWG MEMBERS: April Callis Marisue Fasick Deep Ghatak Risto Gladden Karin Hazelkorn Craig Mills Erika Moore Deborah Lynn Morrison Jason Papadopoulos Tosha Perkins Terri Ray Kirk Luckwald Sievert Margaret Thompson Greg Voeller STANDARDS PROJECT CONSULTANTS: The Communicators, Inc. Georgia Patrick, President Anna Rubin, Vice President Dr. Rory E. McCorkle, Technical Process Leader Dr. Manfred Straehle, Technical Process Leader Alexandra Kassidis, Research Associate Jessica Anderson, Senior Editor ACMP STANDARDS SUPPORT TEAM: Linn J. Wheeling, Executive Director Stephen Cinq-Mars, Project Director Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 4 Standard for Change Management© Introduction ACMP’s Standard for Change Management describes the areas of knowledge, established norms, processes, tasks, and skills necessary for change management practitioners to be effective in managing change in their industries and organizations. ACMP’s Standard is designed to benefit both individuals and organizations. Individuals benefit because they can be more effective in driving lasting, positive changes that produce improved business outcomes and because ACMP’s Standard enables their career growth through an objective endorsement of their change management skills and abilities. Organizations benefit because they can improve the adoption, effectiveness, and sustainability of their initiatives and because ACMP’s Standard provides an objective assessment of skills and abilities to enable more effective hiring, training, and consulting investments related to change management. ACMP’s Standard is a reference for professional knowledge and understanding of change management and provides the basis for the Certified Change Management Professional™ (CCMP®) certification. The following pages document a generally accepted professional approach to change management activities to provide insight, structure, process, and a standard approach to addressing and driving change. 1 Scope ACMP’s Standard provides guidance for organizational change management. It can be used by any type of organization, including public, private, or community organizations, and for any type of change, regardless of complexity, size, duration, geography, or culture. It is intended to be scalable to the varying range of organizational change management implementations. This Standard provides high-level descriptions of terms, concepts, and processes that form good practice for managing change in organizations. 2 Normative References The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. The latest edition of the referenced document (including any amendments) applies for undated references. ACMP Statement of Change Management (provided in Appendix A of this Standard) ISO 21500:2012(E) Guidance on project management Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 5 Standard for Change Management© 3 Terms & Definitions For the purposes of this document, the following terms and definitions apply. Terms and definitions are expanded in further clauses. 3.1 Adoption Choosing to accept and demonstrate a new way of thinking or behaving. Adoption occurs when stakeholder behavior is consistent with the future state behavior. 3.2 Benefit The quantitative and qualitative, measurable and non-measurable outcomes resulting from a change. Benefit Realization The achievement of the expected outcomes of a change. 3.3 Change The transition from a current state to a future state. Current State The condition at the time the change is initiated. Future State The condition at the time when the benefits have been realized. 3.4 Change Impact How people, process, technology, and the workplace are affected during the transition from the current state to the future state. 3.5 Change Management The practice of applying a structured approach to the transition of an organization from a current state to a future state to achieve expected benefits. 3.6 Change Risk An event or condition that, if it occurs, may have an effect on :the change benefits. 3.7 Change Saturation When the amount of change occurring in an organization is more than can be effectively handled by those affected by the change. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 6 Standard for Change Management© 3.8 Competency The organizational or individual collection of knowledge, skills, and abilities. 3.9 Engagement Stakeholder involvement and influence in the change process. 3.10 Governance The decision-making processes, applied by authorized individuals or teams, for approving/ rejecting, monitoring, and adjusting activities of a change management plan. 3.11 Outcome A specific, measurable result or effect of an action or situation. 3.12 Readiness The preparedness of an organization or its parts to accept, effectively handle, and integrate impending change. 3.13 Resistance A stakeholder’s opposition to a change. Resistance Management The process of addressing stakeholders’ opposition to a change. 3.14 Sponsor The individual or group in the organization accountable for the realization of the benefits of a change. Sponsorship The process of aligning stakeholders to support and own a change. 3.15 Stakeholder An individual affected by a change. 3.16 Sustainability The ability to maintain the future state. 3.17 Vision The description of the future state. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 7 Standard for Change Management© 4 Concepts For the purposes of this document, the following concepts apply. 4.1 Change is a Process Change is not a single event, but a transitional process with multiple and varied events supporting the objective of moving an organization and its stakeholders from a current state to a future state. While responding to a change, there is classically a dip in performance due to an individual’s normal reaction to change. The disruption can occur at various times throughout the transitional process before the future state is achieved. In some cases, especially without change management, adoption of the change can fail and old behaviors resume. Stakeholders must begin to behave differently for the change to be adopted. The following graph is an example and has been adapted from numerous change management thought leadership sources. Figure 1 – The Effect of Change Management on the Transitional Process Change Adopted Change Implemented Performance Effective change management results in higher likelihood of change adoption and benefits realization FUTURE STATE CURRENT STATE Benefits Realization Without change management, there is no guarantee of successful change adoption or benefits realization TRANSITION STATE While this diagram depicts a change event, a typical transition is not a one-directional, linear, or smooth process Time To reduce the disruptive effects inherent to change and to increase the likelihood of achieving the future state, change management can: Increase organization readiness, flexibility, and adaptability Increase stakeholder engagement, morale, and preparedness for the new way Minimize the depth of any performance and productivity decline during change Accelerate and maximize performance during and following the change Increase stakeholder utilization of and proficiency in the new way Minimize the learning curve and speed to adoption of the new way Increase the likelihood of benefits realization Optimize long-term sustainability once the future state is achieved Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 8 Standard for Change Management© 4.2 Relationship to Strategic Planning Change is initiated at many levels, yet a critical, natural link exists between strategic planning processes and change management. Strategic planning establishes a vision, and its component activities determine the future state and ongoing organizational changes required to successfully operationalize and sustain it. Change management drives individual and collective adoption, thus ensuring achievement of expected benefits and return on investment. The vision, a leading component of strategic planning, is an aspirational and future-focused statement that typically describes why the change is needed and what the future state will be like and sometimes includes the risks to the organization if the change is not successful. The vision statement creates the initial and foundational link between strategic planning and change management because it: Provides clarity of direction and focus for the organization and stakeholders Identifies high-level results and expected benefits to be achieved Sets the stage for leaders to align stakeholders to a common plan Acts as a guide for decision making, communications, and engagement Successful changes require leaders to articulate a consistent, achievable, inspiring, and easily understood vision that guides the organization to measurable achievement of expected benefits. 4.3 Types of Organizational Change Types of organizational change and change definitions are almost infinite. Defining a change by the name of a project, a new systems initiative, process redesign, acquisition, policy, or procedure update is often incomplete. A change definition must be based on an analysis of a number of change variables that can differ from one change to the next, including technological complexity, number and type of impacted stakeholder groups, degree of process change, amount of structural adjustment, physical relocations, benefit or compensation impacts, workforce adjustments, speed of implementation, degree of job role change, and geographic dispersion. However, what makes each change truly unique is that it affects individuals and organizations with unique value systems, cultural norms, histories, experiences with past changes, leadership styles, and levels of competency in managing change. Two components comprise the basis of a change definition and risk assessment that leads to the appropriate scaling of change management effort, time, and resources: an analysis of change variables providing insight on its size and complexity and an assessment of the organization delivering insight regarding culture and readiness. All changes within an organization, not only large disruptive project changes with approved funding, dedicated resources, and project charters driven by strategic planning, can be assessed on these two components. Small changes with minimal impacts that do not flow through normal project governance processes and everything in between can be assessed on these components as well. Change management is not a one-size-fits-all approach and can be scaled to fit any organizational change. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 9 Standard for Change Management© 4.4 Relationship to Project Management Project management and change management are complementary yet distinct disciplines that may overlap during change delivery, and are often interdependent when delivering value to the organization. The degree of overlap and interdependency can vary between organizations, depending on factors such as organizational structure, type of change, methodologies utilized, competency, and capability maturity. Effective integration of project management and change management is required to ensure that organizational objectives are achieved. Integration can occur across various dimensions, including: Roles and Responsibilities: Project management should focus primarily on the application of skills, tools, and techniques to activities required to deliver planned change (e.g., new systems, new processes, new resources) in a structured way within the required scope, time, cost, and quality parameters. Change management should focus primarily on the application of skills, tools, and techniques to activities required to implement and sustain the delivered change, such as influencing individual behavior and organizational culture, facilitating new ways of working, tracking and enabling benefits realization, and providing input for future change initiatives. The scope and focus of the two disciplines should be clearly defined early in the planning process. Overlaps and interdependencies should be identified and documented, including how the disciplines will work together, how information will be shared, and how decisions will be made. Methodology and Plan: Project management and change management methodologies differ in focus. Project management methodologies typically emphasize the organization and management of resources and activities required to complete projects (deliver the change) within the defined scope, budget, timeline, and quality standards. Change management methodologies typically emphasize the people side of change and the activities required to prepare the organization for the delivered change, facilitate the transition from the old way of working to the future state, and embed the change as the new norm. The two approaches should be integrated to ensure that the right amount of attention is given to both the technical (delivery) and people (implementation) side of change. Projects have specific start and end dates, but change management activities frequently continue long after the change is delivered and the project is closed. Nevertheless, project management and change management plans should be integrated into an overall plan because project milestones and change management activities may trigger one another. Tools and Resources: Practitioners use a variety of tools to deliver, implement, control, and measure change. Some tools are specific to project management or change management, but some, such as a Stakeholder Analysis, may be common to both. Where commonalities exist, tools should be integrated to increase efficiency and collaboration between the two disciplines. There may also be opportunities to integrate or share resources (e.g., people, hardware, software, facilities, finances), depending on the degree of overlap and interdependency between project management and change management. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 10 Standard for Change Management© Objectives and Outcomes: The common objective of project management and change management is to add value to the organization. Each discipline uniquely contributes to the realization of benefits. Project management delivers the planned change, and change management ensures that the delivered change is implemented and adopted to enable the realization of the expected benefits. Risks Both project management and change management recognize that risks can have a significant impact on the organization’s ability to deliver and implement change. Change management focuses on risks to the adoption of the change, threats to the realization of the expected benefits, and threats to ing the change. Change management also has an interest in project-related risks, such as those affecting timeline, scope, budget, and benefits realization. 4.5 Organizational Change and Individual Change Change is managed at both the organizational and individual levels. Change management facilitates the transition of organizations and their stakeholders to sustain the future state. Individual behavior change is essential to achieve this objective and the organization’s return on investment. It is also important to identify measures of accountability to ensure change is successful at both the organizational and individual levels. At an organizational level, change management efforts assess and understand an organization’s: Current cultural attributes, which may provide a solid basis for or be an impediment to the change Prioritization of change initiatives in an effort to monitor change fatigue and saturation, as well as build change agility Shared vision and strategic intent for the change New or modified business processes, systems, policies, behaviors, rewards, performance indicators, and procedures needed to successfully work in the future state Structure and individual roles needed to support and reinforce the change effort At an individual level, change management efforts address and manage an individual’s: Unique perspectives, biases, motivations, behaviors, mindset, resistance, and reactions to increase acceptance and commitment in a more productive and resilient way Willingness, ability, knowledge, skills, and time capacity necessary to transition to the future state Sponsorship and active leadership needs to ensure successful change and coach an individual through personal transition 4.6 Change Management Roles and Responsibilities A particular change effort may involve individuals specifically selected to advise the project team on potential change risks, such as an advisory committee. The change management team may engage additional individuals or groups (outside the change team) to help assess change effects; prioritize change management tasks; provide feedback on the change management strategy, plan, and tactics; and execute and support the change process at the stakeholder level. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 11 Standard for Change Management© The following roles are defined for dedicated change professionals: Change Management Practitioner: An individual responsible for coordinating, applying, and tracking change management tools or activities. This individual is not responsible or accountable for the change strategy. Change Management Team: A group of individuals who work together facilitating change management activities to design, analyze, develop, and enable the organization to own and effectively drive adoption, usage, and proficiency. Team members ensure activities are completed, feedback is gathered, training is conducted, and communications are delivered in various formats. Change Management Lead: The individual accountable and responsible for the change strategy who assesses the change, outlines a change plan, and implements change management. This individual has direct day-to-day control over the change management team, the change project schedule, associated budgets, and resources. The Change Management Lead is the primary liaison to the change sponsor, project manager, leadership, overall project team, and stakeholders. Change roles may have different names associated with the role, depending on the organization. Additional or consolidated roles may be required based upon the complexity of the goals set for the change. The following roles are created to support stakeholders’ results: Sponsor: The individual or group in the organization accountable for the realization of the benefits of a change. The sponsor defines and champions the overall change goals, scope, and definition of success. This individual or group influences peers and other senior leaders to gain support and provide leadership to achieve the stated vision. This role has ultimate decision-making and funding authority and provides constant visibility to the change effort. Change Agents: Functional or social leaders, middle management, and subject matter experts from different areas in the organization who are trusted by colleagues, stakeholders, and executives for their insight into and understanding of the organization. These individuals may be selected for their (informal, non-hierarchical) network and influence (without authority) over other individuals or groups. They model the required behaviors in their areas, provide feedback on change activities, and actively engage with others around change activities. 4.7 Organizational Alignment and Change Management Alignment is an important element of successful change initiatives. Leaders must have clarity of purpose and focus to align people, processes, systems, and structures in times of change. They must also develop contingency plans to detect and remediate alignment issues that may occur before, during, or after change occurs. Change capacity and capability can vary greatly from one organization to another, but the likelihood of the successful implementation and adoption of change is increased when the organization’s structure, processes, and people are continually aligned to a common vision. Organizational culture is another important element of organizational alignment that can influence change strategy success; therefore, it is important that leaders create an environment where followers have the necessary time and space to engage in and become comfortable with the new ways of working. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 12 Standard for Change Management© 5 Change Management Process A process is a set of interrelated actions and activities performed to achieve a specific product, result, or outcome. When properly applied, the change management process increases the likelihood that individuals and organizations effectively transition to a future state to achieve expected benefits. Individuals and stakeholders need information, leadership support, training, coaching, rewards, reinforcement, and time to decide whether to engage in change and to what degree. The transition from the current to a future state is achieved by applying change management processes so that stakeholders are engaged before, during, and after the change process. Effective change management results when the perceived negative impacts and risks of the change are minimized and the overall expected benefits are achieved, ideally within the budget and schedule. Process groups are associations of similar or related processes that serve as guides for the application of change management knowledge, skills, and abilities during change management implementation. These groups are linked in that the output or result of one process becomes the input of another process. Processes within each group are iterative, sometimes simultaneous, and may be applied multiple times throughout the change management effort. Change initiatives may employ various approaches (e.g., waterfall, agile). Change management processes, given their iterative and sometimes simultaneous nature, should be properly adapted for effectiveness, regardless of the project management methodology employed. The process of change management described in this document draws on many existing change management methodologies and identifies generally accepted practices rather than replicating a particular methodology. Practitioners using a particular methodology will find commonalities and perhaps additional suggestions for extending their change management efforts. As an emerging discipline, the ACMP Standard does not mandate particular activities or process steps. Consequently, those familiar with the language of standards will not be surprised at the absence of the word “shall” in describing the processes. Instead, the language describes generally accepted practice; therefore, processes, their sub-processes, and actions are generally used but not required. The following process groups are used to organize and elaborate on the processes performed by change management practitioners during the change initiative. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 13 Standard for Change Management© Change Management Process Groups 5.1 Evaluate Change Impact and Organizational Readiness The processes in this group are designed to assess, evaluate, and anticipate an organization and its stakeholders’ readiness, ability, and capacity to undergo a transition from the current state to a future state. The processes also include an assessment of the change and the impact the change will have on the individual and organization. History, culture, and value systems play key roles in these evaluations. The results provide change practitioners with information to calibrate leader expectations and to scale and customize change management plans and activities. 5.2 Formulate the Change Management Strategy The processes in this group are designed to develop the high-level approach for change management with sponsors, change leaders, content developers, program managers, customers, and others on the project. This approach includes governance, risks, resources, budget, and reporting. The change strategy will incorporate, integrate, and align change management plans, activities, tasks, and milestones into the other activities and operations of an organization and its stakeholders at the onset of a change (timing and sequence). Stakeholder engagement is included in this process group. 5.3 Develop the Change Management Plan The processes in this group employ specific change management methodologies and tools to develop detailed plans for implementing the change management strategy. These plans include communications, sponsorship, stakeholder engagement, learning and development, risk management, and measurement and benefits realization. Ongoing integration with project management is included in this process group. 5.4 Execute the Change Management Plan The processes in this group focus on the implementation of work/actions in the detailed change management plans. The work in this area is required to achieve the expected benefits of the change management implementation. 5.5 Complete the Change Management Effort The processes in this group reinforce the work in the change management plans, determine the effectiveness of the work, monitor progress, and transition the change initiative to the business. These processes include measuring results and comparing to the expected benefits or business objectives. These processes also include the continuous improvement activities that come from the post-project analysis and lessons learned. In the following sections of ACMP’s Standard, Input / Output tables are included in the descriptions of the change management processes. These tables communicate the process, documentation, or information required to complete the process step, and what process, documentation, or information is an outcome of the process. The inputs and outputs listed in these tables are not meant to be exhaustive, but rather indicate commonly accepted inputs and outputs. The inputs and outputs do not have a one- to-one relationship with each other. 5.1 Evaluate Change Impact and Organizational Readiness The purpose of Evaluate Change Impact and Organizational Readiness is to: Review the overall change and how it will impact the organization Establish whether the organization is ready and able to adopt the proposed change Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 14 Standard for Change Management© This comprehensive evaluation involves a series of processes. Each process outlines the purpose of the activity, main areas of focus, and key inputs and outputs. These processes are closely linked to the order in which they are typically performed. The following list outlines the goals of the evaluation processes with respect to change effects and organizational readiness: 1. Define the change and why it must occur. 2. Develop and communicate a clear vision of the future state. 3. Determine the key stakeholders involved and who will be affected by the change. 4. Assess the organization’s culture, capacity, and readiness for change. 5. Assess whether change leaders understand and are committed to a change program. 6. Assess the risks and likelihood of success to identify potential actions that promote progress toward change. The evaluation of effects and readiness for change should begin before formulating change management strategies and plans. Each process output should be the product of wide and proactive consultation to close the gap between the strategic intent and formation of strategies and plans that will achieve the expected benefits. 5.1.1 Define the Change The purpose of Define the Change is to discern and specify the change the organization intends to adopt to meet a strategic objective. Fundamental questions around the change, the purpose, who will be impacted and how, and alignment of the change with organizational goals and needs are key to defining the change. Questions may include: Will the change be departmental or enterprise-wide? Will the change be people-, process-, or technology-oriented? Is the change part of or in conjunction with other changes happening in the organization? Will the change be considered transformational or incremental? How will the organization and its structure be affected by the change? A clearly defined change is needed to determine the approach necessary to implement the change successfully. Inputs Business Case Research Charter Strategic Plan Success Measures Outputs Change Definition Charter 5.1.2 Determine Why the Change is Required The purpose of Determine Why the Change is Required is to explain the current opportunity, risks or consequences, and benefits. This process develops the Case for Change to support the organization’s vision and clearly articulate its expected benefits to the organization. It should include a clear description of the Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 15 Standard for Change Management© consequences of not changing. It may identify risks associated with a lack of commitment or resistance if the change lacks a compelling reason and is considered unnecessary by stakeholders. A misunderstood or incomplete change rationale may be one of the biggest risks in successfully gaining stakeholder adoption. Inputs Business Case Change Definition Charter Strategic Plan Success Measures Outputs Business Case Charter 5.1.3 Develop a Clear Vision for the Future State The purpose of Develop a Clear Vision of the Future State is to facilitate the development of the organization’s operating state after the change has been adopted. This process focuses on developing and describing a common direction for the future state so that stakeholders can envision it in operation and foresee the value of the future state. Inputs Organization Vision, Mission, Values Business Case Change Definition Strategic Plan Outputs Vision Statement 5.1.4 Identify Goals, Objectives, and Success Criteria The purpose of Identify Goals, Objectives, and Success Criteria is to provide tangible, concrete, measurable, and manageable goals that represent planned progress toward the adoption of the future state. This process directs focus to actual change results and anticipated outcomes rather than tracking the change process. It should establish key change objectives and goals that define progress toward the change. The process should also describe the key parameters that measure when goals and objectives are attained, which will enable the associated success criteria to be identified. Inputs Business Case Charter Strategic Plan Vision Statement Change Definition Outputs Change Objectives and Goals Success Criteria and Measures 5.1.5 Identify Sponsors Accountable for the Change The purpose of Identify Sponsors Accountable for the Change is to connect the change to its owners and determine accountability requirements. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 16 Standard for Change Management© This process identifies the sponsors accountable for the change and assesses their alignment with and commitment to the change. It may involve completing a role analysis to differentiate accountable individuals and groups from those who are responsible. Those accountable are required to bring the change to completion, whereas those responsible are operationally required to do the day-to-day work of driving the change to achieve its goals and objectives. As in 5.1.6 Identify Stakeholders Affected by the Change, this process should capture information related to motivations, abilities, expectations, and concerns regarding the change. This information can be captured through a variety of methods, such as structured interviews and general discussions to identify potential constraints, conflicts, or concerns. Inputs Change Definition Charter Stakeholder Analysis Current Organizational Charts and Profiles Outputs Sponsor Identification Sponsor Assessment 5.1.6 Identify Stakeholders Affected by the Change The purpose of Identify Stakeholders Affected by the Change is to identify stakeholder attributes, such as level of influence, commitment, or rules, and determine the size, scope, and complexity of the change’s impact on key individuals and groups. This process identifies those affected by the change and those with the ability to influence the outcome. The process also establishes roles within the change initiative and may identify individuals or groups with multiple roles. The process should group stakeholders to facilitate organizational and individual change activities. A comprehensive Stakeholder Analysis is used in the development of the Change Management Strategy. It is also used to prepare stakeholder engagement, communication, and learning development plans. This process should capture information regarding motivations, expectations, concerns, and attitudes toward the change. The information can be captured through a variety of methods, such as structured interviews, general discussions, and questionnaires. Inputs Change Definition Vision Statement Current Organizational Charts and Profiles Research Charter Outputs Stakeholder Analysis 5.1.7 Assess the Change Impact The purpose of Assess the Change Impact is to analyze how stakeholders will be impacted by the change and the change’s specific impact on people, processes, tools, organizational structure, roles, and technology. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 17 Standard for Change Management© This process involves identifying and categorizing who and what will be affected, assessing the degree of change occurring within these areas, and describing the change. This process determines the size, scope, timing, and complexity of the change effort. It is used to inform and guide the formation of the change strategy and identify activities required to manage risk and resistance that may be associated with the change. Inputs Outputs Change Definition Vision Statement Research Stakeholder Analysis Change Impact Assessment 5.1.8 Assess Alignment of the Change with Organizational Strategic Objectives and Performance Measurement The purpose of Assess Alignment of the Change with Organizational Strategic Objectives and Performance Measurement is to anticipate the impact of the expected benefits on the organization’s strategic goals and objectives. The process assesses where alignment and misalignment of objectives, targets, results, and performance measures occur between the future state and the current state. This is achieved by conducting a review of strategy with the relevant entities and individuals, such as those at the Executive Level, Strategic Planning Office, Change Management Office, and Project/Program Management Office. Strategic planning instruments such as balanced scorecards, strategic plans, and roadmaps should be evaluated and contrasted against the change being proposed. Change management practitioners are responsible for driving appropriate actions to overcome obstacles and avoid or minimize adverse effects. The process identifies potential change obstacles and conflicts, as well as opportunities to manage or address them. The process will produce one of four results: Confirm that change and strategy are in alignment Adapt strategy if change is deemed necessary but is insufficiently aligned with current strategy Postpone change until it is more aligned to organization strategy Cancel change The result impacts the outputs produced or modified. Inputs Strategic Plan Current Vision Statement Future State Vision Statement Case for Change Risk Plan Ouputs Organizational Alignment Assessment Modifications to Organizational and Enterprise Performance Targets (Goals and Objectives) Modifications to Strategic Plan Modification of Business Case Modification of Vision Statement Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 18 Standard for Change Management© 5.1.9 Assess External Factors that May Affect Organizational Change The purpose of Assess External Factors that May Affect Organizational Change is to identify the customer, market, social, legal, economic, political, technological, and other factors outside the organization that may influence stakeholder adoption of the future state. This process is used to determine external factors that will enable or constrain the change effort and identify how those forces will influence the change approach. This is an iterative process because the external environment can introduce new risks or opportunities that can affect the change outcomes. This process is used to guide and inform the development of the Change Management Strategy. Inputs Business Case Vision Statement Strategic Plan Outputs External Environment Impact Assessment 5.1.10 Assess Organization Culture(s) Related to the Change The purpose of Assess Organization Culture(s) Related to the Change is to determine the cultural elements within the organization that may help or hinder the change direction and achievement of expected benefits. Organizational culture is defined as the shared values of and behaviors uniquely common to an organization. Organizational culture is integral in determining how tasks are completed, the way people interact with one another, the language they use when communicating, and the attitudes, goals, values, and leadership behaviors that are exhibited. This process determines if the organization’s current culture, structure, processes, and performance management system will support the change. If so, then the process will investigate how the current culture can be managed through the change. If the current culture will not support the change, then the process identifies the aspects of the current culture requiring change in order to realize the future state. Indicators that a cultural change may be necessary to support and sustain the change include: Current culture does not allow stakeholders to work in ways that support the future state Current culture does not support the planned organizational process or behavior change Current values are in conflict with what will be expected of the stakeholders and leaders The process focuses on the tangible cultural elements that regularly occur in an organization and the intangible elements, which are unwritten or unspoken beliefs and behaviors that may not be overt. The process identifies where cultural consistencies or compatibilities exist. The Culture Assessment is used to guide and inform the development of the Change Management Strategy. The Culture Assessment findings can be used to anticipate and avoid roadblocks. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 19 Standard for Change Management© Inputs Core Values and Behaviors Current Communication Channels, Tools, and Methods Opinion Surveys and FeedbackAssessments Vision Statement Outputs Culture Assessment 5.1.11 Assess Organizational Capacity for Change The purpose of Assess Organizational Capacity for Change is to determine the ability of the various stakeholders impacted by the change to adopt the change and move toward the future state. The capacity of an organization to adopt new changes is dependent on a variety of internal and external factors, including the organization’s: Operational ability to absorb change Volume of concurrent changes (currently occurring and planned) Ability to absorb additional change Historical experience with change, including changes perceived as positive and negative Change maturity, which is the extent to which the organization uses change or project management methodologies, techniques, and tools Economic, environmental, and political stability (external and internal) There are many methods and tools available to help the change management practitioner measure these factors, including: Perform a cultural assessment Review change and project management maturity audits Audit lessons learned and change, project, and portfolio reports to gauge an organization’s current and planned changes and past record of adopting changes of similar magnitude Review independent reports on external and internal factors, including economy, environment, and political conditions The required behavior changes, skill sets, competencies, and potential barriers to change may be identified, for example, by collaborating with leadership, line managers, human resources, and employees. These steps should be considered the pre-requisites for successful change because they will outline the minimum capacity the organization needs to achieve the proposed change. Inputs Competency Assessment Culture Assessment Organization’s Historical Experience with Change Stakeholder Assessment External Environment Impact Assessment Change Impact Assessment Inventory of Change-Related Resources Outputs Organizational Change Capacity Assessment 5.1.12 Assess Organizational Readiness for Change The purpose of Assess Organizational Readiness for Change is to determine the organization’s preparedness for change activities. Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 20 Standard for Change Management© This process assesses the preparedness of the conditions, attitudes, and resources needed for a change to happen successfully. This process should include organizational readiness elements, such as market factors, capacity, and saturation, which address key characteristics and attributes of the organization and the proposed change. This process should also focus on assessing the organization’s level of comprehension, perceptions, and expectations of the change. It should identify gaps existing between the change leaders’ own skills, expectations, and attitudes, and the collective view of the organization. It should also assess the organizational process changes and determine the level of understanding and preparation of the organizational units for the transition. This process is used to develop action plans if major weaknesses in the organization’s readiness are identified. Inputs Change Objectives and Goals Culture Assessment Organizational Change Capacity Assessment Organizational Alignment Assessment Sponsorship Alignment Assessment Vision Statement Risk Assessment Outputs Organizational Change Readiness Assessment 5.1.13 Assess Communication Needs, Communication Channels, and Ability to Deliver Key Messages The purpose of Assess Communication Needs, Communication Channels, and Ability to Deliver Key Messages is to determine the communication effort required to support the transition to the future state. This process is used to define the communication needs of all stakeholders and focus on the specific communication needs of individuals or groups of stakeholders. The Communication Needs Assessment is used to develop the Communication Strategy and to prepare resource and budget estimates. It is also used to identify risks that may directly affect communication effectiveness and progress toward change. Inputs Change Objectives and Goals Culture Assessment Organizational Change Capacity Assessment Sponsorship Alignment Assessment Stakeholder Analysis Current Communication Channels, Tools, and Methods Vision Statement Risk Assessment Outputs Communication Needs Assessment Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 21 Standard for Change Management© 5.1.14 Assess Learning Capabilities The purpose of Assess Learning Capabilities is to determine the scale, magnitude, and complexity of the learning and development needed to ensure that the future state is successfully achieved. The Learning Needs Assessment determines what stakeholders need to do differently and what will demonstrate the need for new competencies, capabilities, knowledge, skills, techniques, and behaviors required to successfully perform and sustain in the future state operations. It focuses on the future technical, social, and behavioral skills and abilities required. The process should determine the learning strategies and approaches and the need for learning equipment, educators, and logistics. It should also identify key constraints or barriers that may affect the learning program’s success. The Learning Needs Assessment is used to develop the Learning and Development Strategy. It is also used to prepare resource and budget estimates and performance metrics. Inputs Stakeholder Analysis Change Impact Assessment Communication Needs Assessment Culture Assessment Organizational Change Capacity Assessment Organizational Alignment Assessment Outputs Learning Needs Assessment 5.1.15 Conduct Change Risks Assessment The purpose of Conduct Change Risks Assessment is to determine and anticipate the identifiable risks to the proposed change. These may be risks commonly associated with change, such as resistance of the stakeholders or lack of visible sponsorship from the leadership of the organization, but other possible risks that may affect the change should be considered. For example, the risk assessment might show a significant risk to successful implementation of the change unless certain stakeholders’ roles change. The assessment should include a level of measuring the impact of the identified risks on the change (e.g., whether a project would be completely halted should a risk become a reality). Inputs Stakeholder Analysis Change Impact Assessment Culture Assessment Organizational Change Capacity Assessment Outputs Change Risks Assessment Risk Register 5.2 Formulate the Change Management Strategy The purpose of Formulate the Change Management Strategy is to develop the overarching approach for how an organization transitions from its current state to its future state. The Copyright © 2019 Association of Change Management Professionals® (ACMP®) All Rights Reserved 22 Standard for Change Management© Change Management Strategy is typically designed to realize a set of goals to achieve specific organizational outcomes. The Change Management Strategy details the scale, scope, and complexity of the change program and defines the requirements and implementation options, challenges, constraints, opportunities, success criteria, measurements, RACI, and governance for each change management activity needed to achieve suc