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NIH Change Management

Leading Change, and Making it Stick

May 9, 2017

Presented by:
Sherry Quinn
Sandra Scarbrough

Top 10 tips for organizational change success

• A Brief Overview of Organizational Change Management (Sandy)

• Understand the organization’s culture (Sherry)
• Develop a case for change (Sherry)
• Integrate change management into project management (Sandy)
• Know your stakeholders (Sandy)
• Have a sponsorship strategy (Sherry)
• Engage supervisors and managers (Sherry)
• Communicate what’s in it for me to a variety of audiences (Sandy)
• Training Effectively: The Cone of Learning (Sandy)
• Measure the value of the change (Sherry)
• Have a sustainment plan (Sherry)
• Demo of the NIH Change Management Program Website (Sandy)

What is Organizational Change Management?

Change management proactively plans for and addresses both the organizational and people
side of change. Integrated with project management, change management recognizes the
importance of individual and environmental factors in supporting necessary behavior changes.

Current State Future State

Change Management Sustained Outcomes

Risk Without Change Management

Benefits to Projects

Projects that effectively execute change management help employees

Understand Why to Change

Know What to Change

Have the Skills & Knowledge to Change

These projects thus reduce resistance to change and are more likely to:

Achieve & Sustain Avoid Re-Work Stay within Budget


“Change Management for a Healthy NIH”

Prosci’s tutorial titled the “Case for Change Management: Correlating Success and Change Management Effectiveness”, which is based on Prosci’s 2007 and 2009 5
benchmarking studies
Change Management Foundations
Extensive research has been and continues to be conducted on change management. The insights
are reflected in numerous change management models, books, reports, and practice

Key Themes
• People have to understand why change is necessary and “what’s in it for me”
• Communication has to be tailored to the needs, motivations, and preferences of different groups
• An email alone won’t drive behavior change
• Leaders can’t just say they’re committed, they have to walk the talk
• Feedback from stakeholders and two-way communication is crucial

Projects with strong change management are 6 times more likely

to meet their objectives
Prosci’s tutorial titled the “Case for Change Management: Correlating Success and Change Management Effectiveness”, which is based on Prosci’s 2007 and 2009 6
benchmarking studies
More Specifically

How are they impacted

by the change?
Who is affected by
the change? How do the affected
Evaluate & Adapt people get information?
What is
changing? Why? Leadership
Engagement Communications
Stakeholder Sustain
Workforce Impacts

Evaluate & Adapt

Organizational Change Management Is

• More than Just Communications or Training
• Meaningfully engages stakeholders in the process
• Integrated Throughout a Project

Organizational Culture

“It’s not hard to make decisions when you

know what your values are.”

-Roy Disney

“Culture eats strategy for breakfast.”

- Peter Drucker
What is Organizational Culture?

Culture is “a pattern of shared basic assumptions that the group learned

as it solved its problems that has worked well enough to be considered
valid and is passed on to new members as the correct way to perceive,
think, and feel in relation to those problems.”*


*Edgar Schein, Former MIT Sloan School of Management Professor and thought leader on Organizational Culture &
What is Organizational Culture?

Leaders speak about culture:
NIH Institutes and Centers








Do Organizations Have One Culture?

• The dominant culture expresses the core values that are

shared by a majority of the organization’s members
• Subcultures tend to develop in large organizations
• Subcultures mirror the dominant culture but may add to or
modify the core values
Five Archetypes of Culture


Achievement People First

Innovation One Team

Freire (2007),

Case for Change

“When you’re finished changing, you’re


- Benjamin Franklin

The Case for Change

Case for Change Definition

• The Case for Change describes the value of a project and articulates the “why” for
• Is predicated on people’s needs, strategic goals, and/or increasing value/reducing
cost/optimizing resources.
• Requires a strong understanding of what is important to leadership, project sponsors
and impacted stakeholders
• Is foundational to project communications and essential that leadership can articulate

NIH Leadership Project Sponsor(s)

Challenges Needs Goals

Case for Change Questions & Tips
Due to… [Office] cannot If [Office] does not We are thus When we are
List internal or continue to… make changes, then… planning to… successful, then…
external factors Acknowledge current Evaluate the Define action plan Determine key wins
related to the office’s behaviors that must consequences of priorities with and/or characteristics
challenges change maintaining the “status desired change of success

Key Questions & Tips

• Is the project in • Consider if any • This will largely • Consider the major • What are the
response to a specific process, policy, quantify the impact of aspects of the financial, mission,
incident or ongoing and/or system will the internal/external process, policy, personnel, or
challenge? need to change factors and/or system that process outcomes
• What factors will • Example will change targeted by the
• What must
resonate with Consequences: • Culture may be a change?
individuals do
different differently? – Lose $x per year component of what’s • How does this align
stakeholders? changing to NIH’s or the OM
• Use descriptive – Increase risk of
• If this is a regulated Office’s strategic
language – e.g. adverse litigation
change, why was the goals?
disjointed financial – Fail to fill mission
policy changed or systems • How does this align
critical positions
implemented? to NIH’s or the OM
– Increase demands Office’s strategic
• Possible Factors: on time goals?
– Costs – Lead to insufficient • Start to define
– Inefficiencies flexibility to adapt potential metrics that
– Risks – Lack insight to could be evaluated
– New technology make strategic
– Regulations decisions
– Governmental
Good Case for Change Example
Due to… [Office] cannot If [Office] does not We are thus When we are
List internal or continue to… make changes, then… planning to… successful, then…
external factors Acknowledge current Evaluate the Define action plan Determine key wins
related to the office’s behaviors that must consequences of priorities with and/or characteristics
challenges change maintaining the “status desired change of success

Due to security risks, NIH cannot continue to If NIH does not We are thus planning We will know we are
unnecessary costs, approach offboarding change, we are at risk to develop centralized successful when 100%
and inefficiencies in an inconsistent, of losing over $X in offboarding toolkits, of random offboarding
related to offboarding disjointed, and costs each year for update the manual audits show that all the
undocumented fashion services and chapters to be essential activities in
equipment that are not comprehensive of all the central checklist
being used, and put separation types, and were completed within
our people and create an nSight x month(s) of the
research at risk as a offboarding module separation
result of compromised
Integrate change management into project

“The only thing we know about the future is that it will be different.”

Peter F. Drucker

Two Disciplines

Technical People

The growing body of case study research provides evidence that tangible change related
actions have been identified and are linked to successful project outcomes. Integrating
change management and project management provides a solid foundation for project

Project Management and Change Management

Current State
Future State
Change Management
Change Management

Transition State Sustained Outcomes

Project Management

Risk Without Change Management

Project Management Change Management

• All processes generally occur • Processes may occur in a

in a linear path and should be non-linear path and some
included for a successful steps may not be needed for
project outcome every change
• Has a defined end • Change is a continuum and
• Focus on a final deliverable may not have an end, but will
have a definition of “success”
• Focus on user adoption
and/or behavior change

Hornstein, H. The integration of project management and organizational change management is now a necessity, International Journal of Project 22
Management 33 (2015) 291–298.
Example of Integration

Notional Project Plan

Planning Live
What is changing?

Case for Change

Why is it changing?

Stakeholder Analysis
Who is affected by the change?

Leadership Engagement
Are the right leaders identified, engaged, and aligned with the change plan?

Workforce Impacts
How are they impacted by the change?

Communications Plan
How do the affected people get the information?

Training Strategy and Plan

Are we building the rights skills and knowledge?

Success Metrics
What is our definition of success and how will we measure it? How will we use data to ensure we’re on-track?

Sustainment 23
How will we ensure to maintain the change
Integration Tips

• Support and Buy-In from Project Teams

• Support from leadership
• Scope, timing and prioritization
• Direction on how to integrate
• Role definition and clarity

Integrating Change Management and Project Management. Prosci Webinars, 24

Know your Stakeholders

“People don't change behavior or positions based on what they know.

They change based on what they feel.”

Oprah Winfrey

Involve Stakeholders During Planning
Often projects fall into the trap of, “if we build it, they will come”

How the customer How the project How the analyst How the programmer What the customer
explained it. leader understood it. designed it. wrote it. really wanted.

Key Stakeholders (e.g. other Offices, front-line employees, etc.) should actively be involved in:
– Developing the case for change
– Defining project success in terms of outcomes, outputs, and associated metrics
– Creating the project plan
– Ongoing project decisions and status reports (e.g. via a working group, weekly status email, meeting, etc.)

Engaging Front-Line Employees early builds buy-in and proactively avoids unintended consequences

Change Management Phases

Who is affected by
the change?
Evaluate & Adapt
Engagement Communications
Planning Sustain
Workforce Impacts


Stakeholder Analysis
Develop an understanding of the different groups impacted by and with influence on the change
- Motivations (what’s in it for me)
- Communication preferences
- Sources of resistance
Arguably the most essential element of change management

Importance of Stakeholder Analysis

Fully identifying and critically analyzing all of a project’s stakeholders is foundational to

the success of the change management efforts and project

If you don’t identify all of the stakeholders

An office, key role, or function impacted by the change may be caught unaware resulting
in confusion, frustration, and potentially major operational failures

For Example: when implementing a new system the focus is

often on user roles, but there are other stakeholders who
provide key information to those users that will have to adapt

If you don’t critically analyze each stakeholder

You won’t be able to tailor communications, anticipate how each stakeholder is impacted,
and provide the appropriate support. This includes:
– Ensuring communications resonate with a stakeholder and lead to greater buy-in
– Providing the specific information each stakeholder needs to adapt to the change
– Avoiding communication fatigue

Change Continuum
Obstacles to Change

66% of change initiatives fail to achieve desired business outcomes

0% 40% 80%

Staff Resistance 76%

Breakdown 72%

Insufficient time
devoted to training

Staff turnover 36%

Costs exceeds budget 32%

Harvard Business Review.

Sirken, Keenan, Jackson. “The Hard Side of Change Management,” Harvard Business Review, October 2006.
Managing Resistance

Commitment Curve

The objective of change management activities is to move individuals along the commitment curve.
During the stakeholder analysis it’s therefore important to determine where stakeholders
currently are along the commitment curve and where they ultimately need to be.

Ownership (5)
Level of Commitment

Buy-in (4)

Acceptance (3)

Understanding (2)

Awareness (1)

Individuals become Individuals can explain Individuals have a positive Individuals champion the
aware of the change the impact of the change attitude regarding the change change, taking
and a vision of the on themselves and on and can ‘see themselves’ in accountability and
future is introduced. the organization. the new state. They begin to ownership for the
feel accountable for making success of the
it happen. transformation.

Sponsorship Strategy

“Progress is impossible without change, and those who cannot change

their minds cannot change anything.”

George Bernard Shaw (1856-1950) Irish writer.

Change Management Phases

How are they impacted

by the change?

Evaluate & Adapt

Engagement Communications
Planning Sustain
Workforce Impacts


Leadership Engagement
Research shows that leadership support is one of the biggest drivers of project success
• Analyze leader’s support for the change, identifying champions and potential resistors
• Develop leadership action plans
Leaders have to walk the talk

Why Sponsorship is Important

An international study of over 3,400 leaders found that “active and visible
sponsorship was…the greatest contributor to [project] success.”3

Primary causes of organizational

change failure1

In an IBM study 90% of respondents cited “top management

sponsorship” as the factor that makes change successful2

Project may be delayed, not achieve its full potential, or fail

Leadership’s Role

Make Change Management Part of Your Define & Measure Success

Office’s DNA

• Ensure change management is integrated at • Actively participate in defining:

the start of a project – The case for change
• Assign personnel to support change – Outputs, outcomes, and success metrics
management on each project • Ensure there’s a process and personnel to track
• Reinforce change management by asking key metrics throughout the project
questions during the project

Actively Role Model & Communicate Build Trans-NIH Coalitions

• Lead by example • Identify and engage other related initiatives,

• Communicate directly with front-line employees impacted offices, and front line employees
(e.g. town halls, webinars, etc.) • Provide insight into leaders’ perspectives and
• Formally and informally reinforce the change foster connections with key leaders
(e.g. PMAPs, training days, etc.) • Secure the resources needed to develop,
implement, and sustain the solution

Sponsorship Roadmap

Sponsorship Roadmap

Engaging Supervisors and Managers
“It is not the strongest of the species that survive, nor the most
intelligent, but the one most responsive to change.”

Charles Darwin

Importance of Supervisors and Managers
Five Roles of Supervisors & Managers

1) Communicator

2) Advocate

3) Coach

4) Liaison

5) Resistance Manager
Important Role in Time of Change
Supervisory Assessment Example

Managing Change





3.4 3.5 3.6 3.7 3.8 3.9 4 4.1 4.2 4.3

Spectrum of Reactions

Listen to me: Just give me the facts:

I’m afraid, upset, don’t understand Where do I go and when

Emotional Logistical

Supervisors are the first line of communication across a spectrum

of reactions employees have to a change.

Toolkit Example – Logistical Responses

Concern Remediation Tips / Examples

“Why do we have to do this!” Go back to the directives of the project Recent moves by NIH and other
(expiring leases, GSA space agencies:
requirements, co-location of ICs). - NCI
Leverage the Case for Change. - NICHD
• Which floor will I be on? 1. Staff should be directed to the
- GSA, NSF, FBI (in process)
• Where’s the cafeteria? Move’s FAQs on the NIH on the
• Where will I park? Move site.
• Is there a gym? 2. Additional details and reasons
• How far is the metro, is there a behind the move are located on
shuttle? this the OM on the Move site.
3. Additionally, you or your staff can
always direct questions to:

• How can I manage the extra Stay engaged with move updates,
work to prepare for the move speak with your supervisor, and provide
while I have concurrent projects suggestions for work management
that are due?

Toolkit Example – Emotional Responses

Concern Remediation Tips / Examples

Allow people to talk out their emotions but
“This makes me then encourage them to focus on what they can Sample response after hearing out an
mad/sad/angry/annoyed” control. employee’s concerns:
“I hear your concerns, and they are valid… but
Recognize that as long as we can do our jobs in we are moving so maybe you can be a lead on
a safe, pleasing environment the rest is collecting ideas to make it as smooth as possible
subjective interpretation and you can’t control for our team”

How do I manage resistance to the Move There is often a 20/60/20 rule. 20% of people See Prosci’s top 10 steps for managing
in general? will resist change no matter what, 20% of resistance (see slides 18-19)
people will go along with the change without
assistance, and 60% will wait and decide how to
respond. Research tells us to focus most
change resistance efforts on the 60%.

Employee is having a hard time accepting Employ the NIH Employee Assistance Program For more information or to make an
or dealing with the office move. or the Ombudsman Office. appointment, call the EAP at (301) 496-3164 or
go to the EAP website
The Employee Assistance Program exists at NIH at
as a comprehensive, confidential and voluntary es/index.aspx. The EAP office is located in
benefit to employees allowing them access to Building 31, Room B2B57.
problem-solving resources.
Ombudsman office -
Communicate what’s in it for me to a variety of

“The single biggest problem in communication is the illusion that it takes


George Bernard Shaw

Neuroscience and Change

Your Brain on Change

Limbic System- Amygdala-fight
or flight, emotional
Prefrontal Cortex- logic,
analysis, understand, rational

• Your Brain perceives change as a threat and will set off the
limbic system.
• A perceived threat, such as change, can hamper prefrontal
cortex functioning.
• The brain finds meaning based on past experience
5 Social situations your brain cares about (Dr. David Rock,
Neuroscience of leadership)
Your perception of your position relative to another
Your brain is a prediction machine, uncertainty arouses the
limbic system
The brain wants to have a say in the future, a feeling of
having a choice dramatically impacts stress levels
Friend or foe, distrust or trust, in-group or out-group
Perception of fair exchange between people

Change Comes from Feeling

• Status
– Development of a new skill
– Praising employees with knowledge
• Certainty
– Share information and communicate with transparency and often
– Provide opportunities for two-way communications
• Autonomy
– Provide choices when possible
– Encourage and provide opportunities for involvement in the change
• Relatedness
– Meet often with employees
– Foster relationship building
– Set up diverse teams
– Emphasize shared goals and objectives
• Fairness
– Be transparent, and communicate both bad and good news
– Establish clear expectations
– Explain the reasons for decisions clearly

Communication Success Factors

Incorporating critical success factors into any communication development cycle will support
communications impact and efficacy

Define clear, measurable objectives for communication efforts

Target and tailor communications to meet audience needs

Critical Select the right mediums (i.e., channels/vehicles) to convey the

message; leveraging multiple mediums to disseminate complex points
Make it relevant; answer the question, “What’s in it for me?”

Facilitate two-way dialogue; individuals will “hear” communications if

they believe that those communicating are hearing them

Repeat the message via multiple methods and channels

Communication Channels and Vehicles

• Kick Off Meetings

• Functional Group Kick Off Meetings
• Functional Group Training Sessions
• Manager Meetings
• Standing Meetings
• Focus Groups
• E-mail messaging from leadership to staff
• FAQs/Talking Points
• Mailbox for staff questions
• Newsletters
• Website
• Explainer videos
• SharePoint site
• Town Hall
• Virtual Office Hours
• YouTube, Twitter


• Change is seen as a threat

• Change comes from feeling
• Use the SCARF model as a means to craft up WIIFM
• Perform a communication vehicle analysis to ensure
you leverage or develop the best way to get your
message out

A goal of good change management is to coordinate

delivery of the “What's in it for me”, to prevent and
manage emotional reactions within staff to support the
change effort.

Training Effectively: The Cone of Learning

“We now accept the fact that learning is a lifelong process of keeping
abreast of change. And the most pressing task is to teach people how to

Peter F. Drucker (1909-2005) American writer and management consultant.

Bike Video

Reading and Hearing Words

• PresentationsReading and Hearing words (Passive Learning)

• Handouts
• Documents
• Lecture Style presentation
• Listening to a Story
Seeing and Watching

• Watching videosSeeing
thatand watching (passive learning)
the concepts presented
• Viewing slides with diagrams
and visuals
• Watching an example scenario
(role play)
Participating and Doing

• Ice breakers Participating and doing the real thing (Active Learning)
• Asking questions
• Active discussion
• Group activities
• Sandbox
testing/performing the
• Gamefication
Measuring the Value of the Change

“I can't change the direction of the wind, but I can adjust my sails to
always reach my destination.“

- Jimmy Dean

Value of Change Management

• Cost avoidance

• Benefit realization insurance

• Increased likelihood of meeting objectives

22 “ROI and Change Management Measurement”, Prosci, 2010

Defining Success
When defining success most organizations only focus on outputs
Outputs are a quantifiable good or service, such as a heart operations.
Outcomes are the impact or change, for example decreasing the deaths due to heart disease.
For example – as a cardiologist:

Success Metric: number of successful Success Metric: deaths due to heart disease
heart operations per 1,000 people

Focusing only on outputs and not on outcomes increases the risk that:
a. The output doesn’t actually lead to the intended outcome
b. You miss out on a more effective intervention
Talking About the Value of Change Management

• There has been much discussion and debate about the value of change

• May need to shift the conversation

• The reason we do change management is to increase the benefits realized and

the value created by a project

• So, the value of change management is not separable from the value realized
from the project

The value of change management really is the value of the project

Talking About Change Value

• What expected benefits of the project depend on the people

side of change?

• Three “people” factors22:

1. Speed of adoption

2. Utilization

3. Proficiency

22 “ROI and Change Management Measurement”, Prosci, 2010

Steps to Take23

1. Define the individual changes required by your project

2. Shift the perspective

3. Create a system for measuring results at the different levels

4. Build the case for change management

23 “ROI and Change Management Measurement”, Prosci, 2010


“Change leads to disappointment if it is not sustained. Transformation is sustained change, and it is

achieved through practice.” B.K.S Iyengar

Change Management Phases

Evaluate & Adapt

Engagement Communications
Planning Sustain
Workforce Impacts


A change doesn’t end when a system goes live or when a new policy or process is rolled-out
• Evaluate if the desired outcomes have been achieved and adapt accordingly
• Develop a sustainment strategy to ensure outcomes don’t revert
• Capture and share lessons learned

Sustainment is Key to Value Realization

• A change doesn’t end when a system goes live or when a new

policy or process is rolled-out.

• What takes place?:

• Evaluation of sustained outcomes

• Reflects on and captures lessons learned

Questions to Consider for a Sustainable Strategy

Needs to address what, who, how, and when for the following items:

Success Metrics:
• Monitoring outcomes
• Ongoing evaluation frequency

Stakeholder Analysis, Workforce Impact Assessment, & Leadership Engagement

• Addressing gaps
• Leadership’s role

Communications Plan:
• Response approach for questions
• Ongoing communications approach
• Update plan for communications

Training Strategy and Plan:

• Reinforcement plan
• Onboarding plan
• Institutional knowledge

Sustaining Change – Continuous Feedback

Celebrate Assess and

Success Evaluate

Adjust and
Gaps and


In Summary

Top 10 tips for organizational change success

1. Understand the organization’s culture

2. Develop a case for change
3. Integrate change management into project management
4. Know your stakeholders
5. Have a sponsorship strategy
6. Engage supervisors and managers
7. Communicate what’s in it for me to a variety of audiences
8. Training Effectively: The Cone of Learning
9. Measure the value of the change
10. Have a sustainment plan

Demo of the NIH Change Management
Program Website

Change is Constant

Possible New NIH


Office 365

NBS Migration to the



Mission: To provide resources and expertise to empower NIH leaders and teams to
successfully implement organizational change management.

Vision: An NIH where organizational change management is integrated into

organizational planning and project implementation efforts, thereby driving improved
and sustained project success.

• Develop tactical resources

• Provide Feedback and guidance on change efforts
• Conduct Trainings and workshops
• Facilitate learning and sharing of knowledge
• Empower NIH organizations to manage change




“Tell me and I forget, teach me and I may remember, involve me and I

learn.” - Benjamin Franklin

1. Prosci’s tutorial titled the “Case for Change Management: Correlating Success and Change Management
Effectiveness”, which is based on Prosci’s 2007 and 2009 benchmarking studies
2. Integrating Change Management and Project Management. Prosci Webinars,
3. Hornstein, H. The integration of project management and organizational change management is now a
necessity, International Journal of Project Management 33 (2015) 291–298.
4. Sirken, Keenan, Jackson. “The Hard Side of Change Management,” Harvard Business Review, October
5. Kotter, John. Harvard Business Review. Leading Change: Why Transformation Efforts Fail. JANUARY 2007
6. "The Science of Organizational Transformations." McKinsey & Company, 1 Sept. 2015. Web. 23 Nov. 2015.
7. Limbic Zen, Engagement, Emotion and Change Management.
8. Why Good Strategies Fail: Lessons for the C-suite." The Economist Insights. The Economist Intelligence
Unit, 2013. Web. 23 Nov. 2015.
9. Heath, C., & Heath, D. (2010). Switch, How to Change Things When Change is Hard. New York: Broadway
10. Rock, D. (2008). SCARF: a brain-based model for collaborating with and influencing others. Neuro-
Leadership Journal, 1-9.
11. “ROI and Change Management Measurement”, Prosci, 2010