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

1. Northeast Ohio Regional Sewer District
Geographic Information System Program
Change Management Strategy
March, 2002

2. Table of Contents
Section 1: Introduction.......................................................................................................................................iii
1.1Background.....................................................................................................................................iii
1.2 Purpose and Audience....................................................................................................................iv
1.3 The NEORSD Change Management Approach.............................................................................iv
1.4 Definitions.......................................................................................................................................v
1.5 Principles Guiding Change Management in the GIS Program.....................................................vii
Relationships, Roles and Responsibilities in the GIS Program........................................................................1
2.1 Overall GIS Implementation Structure............................................................................................1
2.2 Recommended District Structure....................................................................................................2
2.2.1 Steering Committee..................................................................................................................2
2.2.2 Project Implementation Teams ...............................................................................................3
2.3 Change Management Roles and Responsibilities............................................................................4
2.3.1Program Level...........................................................................................................................4
Section III.............................................................................................................................................................6
Strategies for the Change Management Processes............................................................................................6
3.1 Transition Strategy..........................................................................................................................6
3.1.1 Transition Activities.................................................................................................................6
3.1.2 Transition Activities at the Program Level..............................................................................8
3.2 Communications Strategy.............................................................................................................10
3.2.1 Communications Approach....................................................................................................10
Communications Objectives. Communications objectives are clear, concise statements of desired
outcomes to be achieved as a result of the communications efforts. These objectives should be
aligned with, and support the vision, goals and business objectives of the GIS program.
Specifically, as a result of Program Office communications efforts, Program-level audiences
should understand:...........................................................................................................................11
3.2.2 Audiences, Messages, and Vehicles: The Who, What and How of Communications...........11
3.2.4 Communications Framework.................................................................................................13
3.2.5 Implementing the Communications Program.........................................................................13
3.3 Training Strategy...........................................................................................................................14
3.3.1 Overview................................................................................................................................14
3.3.2 Types of Training..................................................................................................................15
3.3.3 Roles and Responsibilities for GIS Training..........................................................................16
3.3.4 Roles and Responsibilities by Type of Training...................................................................17
3.3.5 Learning Approach.................................................................................................................18
3.3.6 Measurement of Learning.......................................................................................................18
3.3.8 Critical Success Factors .........................................................................................................19
Section IV...........................................................................................................................................................20
Applying Change Management........................................................................................................................20
4.1 Summary of Change Management Responsibilities......................................................................20
4.1.1 Change Capabilities at Each Location....................................................................................20
Phase....................................................................................................................................................21
4.2 Change Management Performance Metrics..................................................................................22
4.2.1 Overview................................................................................................................................22
4.2.2 Purpose and Scope of Change Metrics...................................................................................23
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3. 4.2.3 Approach: Who and What Gets Measured.............................................................................24
4.2.3 Reporting................................................................................................................................27
Overview of the GIS Program Change Management Approach....................................................................28
A.1 The Change Process......................................................................................................................28
A.2 Managing the Change Process......................................................................................................28
Appendix B.........................................................................................................................................................30
Sample Charter for the Project Implementation Teams.................................................................................30
Northeast Ohio Regional Sewer District
Geographic Information System Program
Change Management Strategy
Section 1: Introduction
1.1 Background
History. Due to inefficient processes driven by disparate legacy systems, staff within the
Northeast Ohio Regional Sewer District (NEORSD) spends too much time and energy on
activities that do little to support the overall vision, mission, and strategy of the District. An
upfront investment in integrating key processes and systems will free up staff to spend less time
investigating and processing tasks and more time on value-added activities that support the
District mission.
The term “process” refers to how the work gets done, including the way in which people and
tasks are organized and executed. The term “systems” refers to the tools, technologies, and
information systems that people use to do their work. (For complete definitions, please see
Section 1.4 below). In the short run, targeted changes to processes and systems will improve the
efficiency and effectiveness of District operations. In the long run, these changes will lay the
foundation for a more fundamental transformation in the way that staff support functions help the
NEORSD achieve its overall vision and mission.
A planned commitment of resources and resolve, along with a realistic implementation strategy,
will minimize the risks of failure and ensure the successful implementation of efficient, effective
processes and systems. One key component of the implementation strategy is a robust,
systematic approach to managing change.
Mission. The mission of the Geographic Information System (GIS) is to improve the
operational, physical, data management and communication processes throughout the District.
The GIS will reengineer the District’s business infrastructure in the context of industry “best
practices” and implement enabling technology to provide necessary management information to
support the District’s strategic plan.
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4. Business Drivers. The expectations and objectives of the GIS Program are based on solid
business rationale. These “business drivers” should support and provide:
• A District-wide system for management of GIS-related data from District projects,
• Integration of GIS-related data with other District data management systems,
• General applications for accessing, analyzing, reporting and managing GIS data,
• Specific task/department oriented applications to increase efficiency, automate work
processes and improve communication.
1.2 Purpose and Audience
The introduction of new processes and systems will profoundly affect the way most people
within the NEORSD accomplish their work. These process and systems changes will be
introduced to the District as a series of Projects covering all or a significant part of a functional
area. A structured change management program is necessary to help the District workforce
incorporate these changes and employ the new processes and systems to their full effect.
Without a strong change management process most new major business systems fail to meet
their target goals. The experience of other organizations indicates that successful system
implementations have a structured change process. This document describes the NEORSD
structured change management approach by:
• Describing the outcomes sought from the overall change management program,
• Clarifying the roles of persons involved in the GIS system implementation, both from a
change management perspective and from a program management perspective,
• Providing a common change management vocabulary for use throughout the District,
• Identifying change management activities at the District level which can be used to get
the outcomes,
• Identifying assistance, tools, and resources that will be made available by the GIS
Program to assist the District in carrying out change management activities.
1.3 The NEORSD Change Management Approach
What does it mean to manage change? The term “manage” has four definitions: (1) to direct
or control; (2) to succeed in accomplishing or achieving, especially with difficulty; (3) to
coordinate or conduct the affairs of; and (4) to cope or get along. We use manage in all four
senses of the word. By “change” we refer to organizational change, both in the sense of
changing the organization itself (its assets, structures, systems, etc.), and in terms of changing
organizational behavior. Organizational behavior includes the individual behavior of people in
the organization and the collective behavior of the District. Finally, change should be managed
not only in reaction to external events or threats, but also proactively. Proactive change is
planned; it includes changes that anticipate shifts in the environment as well as those that create
and exploit opportunities for beneficial change. In other words, to achieve desired results for the
benefit of organization members and others with an interest or stake in the organization. Thus,
change management means directing, accomplishing, coordinating, and coping with planned
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5. organizational and behavioral change to achieve a desired result or set of results for the
organization and its stakeholders.
Managing Change in the GIS Program. Concurrent with the introduction of new technology,
the NEORSD will introduce other business processes within the District. This strategy addresses
the change management activities necessary to facilitate successful change in all areas. In this
context, change management is the task of aligning the District’s people and culture with
changes in business strategy, organizational structure, business processes, and systems. The
tools that are used to undertake this task include communications, training and other activities
(frequently described as transition activities).
The GIS Program change management approach presented in this document draws upon research
and field experience to provide an understanding of change in organizations and tools for
managing change. An overview of the theoretical basis of our approach appears in Appendix A,
along with definitions of some key terms (such as sponsors, change agents, change targets and
change advocates) that are used in the document.
The GIS Program’s approach is structured to aid and assist the Distric in carrying out the change
management activities needed to be successful. To assist the District in preparing for this
activity, a template for a Change Management Plan will be published which outlines a structured
approach for organizing and carrying out Change Management activities. This approach breaks
the work into the following five sequential phases:
1. Mobilize the team
2. Assess the current organization
3. Design the new desired organization
4. Implement the changes to close the gap from current to desired
5. Sustain the changes and continue to improve performance.
The Program has also provided a set of basic change management tools and other
documentation, described in Section 1.6. In addition to these documents, members of the
Change Management Team are available to assist the District with specific issues, or in setting
up and energizing the change management effort at a specific location.
1.4 Definitions
A common understanding of the meaning of terms is essential to good communications. The
following terms are used in this document with the meanings indicated below.
TERM DEFINITION
Ability The physical or mental capacity to act in a certain way.
Behavior Observable performance or actions; what you can see someone doing or
accomplishing.
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6. TERM DEFINITION
Competency Observable and measurable human capabilities necessary to achieve
specified outcomes or performance levels. These capabilities may be
based on skills and knowledge as well as personal attributes, motives and
commitments. Competencies are demonstrated through defined behaviors.
Competency A test or survey of employees to determine the proficiency level of the
Assessment workforce with respect to certain knowledge, skills, and competencies.
Competency An organization, physical or virtual, with resources, skills and sponsorship
Center that will be used to leverage information, support current and future
implementations, maintain and upgrade technical and business process
environments, all of which will lead to continuous improvements and self-
sufficiency.
Competency A meaningful collection and simple representation (usually visual) of the
Model competencies and associated behaviors upon which the successful
enactment of roles, jobs, and business processes rely.
Core A critical competency for the organization’s success and/or competitiveness.
Competency
Curriculum A system of learning activities and content specifications, along with the
conceptual framework for linking the learning activities in a sequential and
effective manner.
Job A cluster of related tasks, typically organized so that a single individual may
perform all the tasks associated with a job.
Knowledge/ The understanding and retention of information in specific areas; typically
Expertise applied in the behaviors described in a competency.
Learning Any opportunity available to an individual in which he/she can gain
Activities knowledge or skill; note that learning activities are broader than just those
included in formal training.
Module In general, a module is defined as a relatively standard, self-contained,
often interchangeable component of a system that is designed for easy
assembly or flexible use. In computer science, a module is a portion of a
program that carries out a specific function and may be used alone or
combined with other modules to form a larger system.
Module Project A module project aims to successfully implement a module across the
organization by leading process redesign efforts, completing pilot
implementation, sharing information and tools from the pilot, and by
otherwise supporting implementation projects at the remaining locations.
Pilot Serving as a tentative model or guide for future development. In the GIS
Program, the word pilot refers to a particular set of activities, usually to
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7. TERM DEFINITION
implement a specific module, designed and organized to serve as an
experiment or prototype for future adoption by others who must conduct
similar activities (e.g., a pilot project).
Pilot Project A pilot project in the GIS Program refers to the particular set of activities
required to implement a module at a specific location. A pilot project is
essentially a sub-project within the broader efforts of a module project.
Process A set of tasks and work procedures, organized in a particular manner and
executed in a particular sequence, so as to produce a meaningful end result
or service.
Project A planned undertaking; a set of tasks aimed at completing a goal or
objective. In the GIS Program, projects are temporary in nature, typically
using cross-functional project teams.
Role A set of behaviors a person is expected to enact in relation to other people,
organizations, or tasks. These relationships are typically defined in terms of
specific responsibilities, accountabilities, or activities. A role is often
suggested by, but is not the same as, a job title.
Skills The ability to do something, typically to perform a particular task or job.
System A set of functionally interrelated social and technical tools, including
computer software, hardware, and data transmission devices, used to help
perform manual or mechanical work. Systems are typically designed to
facilitate the orderly, coordinated and efficient completion of specific tasks
and work procedures.
Tasks A specific activity or set of activities that an individual performs to
accomplish a job.
Training Needs A systematic approach to determining the causes of performance gaps. It
Assessment includes gathering data from a number of sources on performance
problems, analyzing causes and recommending training and non-training
solutions to close performance gaps.
1.5 Principles Guiding Change Management in the GIS Program
The GIS Program should adopt the following guiding principles for change management:
• Facilitate dialogue between customers and stakeholders
• Create an atmosphere of openness and honesty
• Manage for results using goal-based project management and metrics
• Establish clear roles and specific objectives, and measure progress, to ensure
accountability
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8. • As much as possible, seek input from staff in the major decisions that will affect them
and their work
• Communicate the vision at all levels of the organization, clearly articulating the
program’s benefits
• Seek support and commitment, or “buy-in,” from management and employees by
involving them in planning and decision making
• Train staff in new work processes and tools to minimize performance fears
• Reward and recognize people for new behaviors that will help make the system
successful
• Transfer knowledge to build capacity for sustained change
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9. Section II
Relationships, Roles and Responsibilities in the GIS Program
The wide-ranging changes that will come with the GIS Program will be implemented in a
series of projects undertaken throughout the District. Each project will spearhead the
design of new processes and systems and then “pilot” the implementation of process and
system changes related to that module. This section describes the relationships, roles, and
responsibilities of the different groups involved in the entire Program.
2.1 Overall GIS Implementation Structure
This diagram shows the overall organization of the GIS Program. At
the Program level, GIS activities are under the purview of a Steering
Committee and Planning Manager.
Enterprise GIS Organizational Structure
Program Level Planning
Manager
Functional
Project Level District-wide District GIS
GIS Liasons
Manager (Functions)
• Planning
• Engineering
• WWTP(s)
• Analytical Services
• Building Maintenance
System • WQIS
Planning &
Infrastructure GIS Designer & • TSS
Engineering
Support Consultants Database • SOM
Support
Administrator • SMR
• LRTS
• Accounting & Purchasing
• Customer Service
• Legal
• HR
• Safety & Security
• Public Information
GIS GIS
Technician(s) Programmer(s)
External
Agencies
This diagram depicts the levels of responsibility below which GIS teams are organized.
First is the Program Level, which has the planning, guidance, coordination, and support
responsibilities for the entire GIS Program, across all projects and across all locations.
There is one GIS Steering Committee and Planning Manager for the entire Program.
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10. Second is the Project Level, which lists key individuals and teams
related to the GIS Program. Some of the participants may come from
multiple process teams, if the impact of a given project spans multiple
functions or processes.
The right side of the diagram depicts the Functional areas, which lists key functions related
to the GIS activities taking place throughout the District. The groups, roles, and
responsibilities related to the functions listed here will be essentially replicated when
needed for a specific location.
The Steering Committee has primary responsibility for all activities, across modules and
processes. Locations are responsible, for instance, for providing functional input into each
module project’s process redesign efforts, as well as for implementing all relevant process
and system changes as prescribed and piloted by each module project.
As the change management roles and responsibilities are discussed,
this diagram will be helpful in explaining and understanding the
relationships of the teams.
2.2 Recommended District Structure
The recommended District structure for the GIS has two parts—a Steering Committee and
Project Implementation Teams. The Steering Committee and the Implementation Teams
are enduring organizations formed at the outset of GIS activity, and disbanded only when
all GIS activity is completed.
2.2.1 Steering Committee
The Steering Committee is designed to serve as the GIS sponsor. In addition to the
sponsorship, advocacy, oversight, and support roles that this committee plays with respect
to the implementation of specific GIS systems, the Steering Committee also supports more
general efforts to prepare the District workforce for its transition to new ways of working.
Not only must current tasks and processes give way to new ones, the workforce must
ultimately transform the way it does business, changing to efficient, technology-enabled
service organizations that deliver value to internal customers. Eventually, organizations at
every location must become strategic business partners that enhance and support the
District’s basic mission.
The Steering Committee is chaired from the Planning Manager’s Office, and is made up of
functional process owners and other key stakeholders. The role of Committee members is
both strategic and tactical. At the strategic level, their primary role is to develop a vision –
essentially a “concept of operations” – of how the District will do business in the new GIS
environment. The GIS will help provide tools, information, and other resources that have
the potential to significantly improve processes and decision making throughout the
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11. District. Each location has to decide how to capitalize on this opportunity to streamline
work and maximize the contribution to their overall effectiveness. The Steering
Committee is responsible for creating a vision and then for establishing objectives,
allocating resources, resolving issues, making decisions and setting policy in order to
achieve that vision.
The Steering Committee also plays an important tactical role in selecting individual project
leaders and Implementation Team members and guiding the transition to the new GIS
systems. They are responsible for the “hands on” coordination of program, functional,
and resource issues, resolving conflicts, and serving as a sounding board for project team
issues. In short, the Steering Committees’ job is articulating, “this is how we are going to
change our business and this is what we need to do to be successful,” and then delivering
the leadership and resources necessary to do those things.
2.2.2 Project Implementation Teams
Project teams are the “engines” of the GIS implementation because they work across a
range of functional, change management, and IT roles to drive the implementation of GIS
Projects.
Project Implementation Teams should be formed under the charter of the Steering
Committee and should report to the appropriate functional process owner. The first step in
forming a Project Team is choosing the Project Manager (PM). PMs should have project
management skills, since they will be running a critical project for the District. The PM is
then responsible for assembling a project team – taking care to select the right mix of
resources. Members of the Project Implementation Team are chosen from the functional
area(s) affected by the implementation.
The Project Implementation Team is responsible for developing a detailed project plan and
schedule. In building their project plans, teams must take into account Program, process,
and module dependencies, as well as risk management issues within the context of overall
implementation. The Project Implementation Team will complete key tasks such as skills
assessments, process gap analyses, and technology assessments to help develop an
effective project plan and schedule.
2.2.4 Summary
The recommended District structure for the GIS Program recognizes the important role of
NEORSD leadership in the implementation process. This leadership involvement
primarily comes in the form of the Steering Committee. The Steering Committee’s key
role is to create and “own” the business vision for the District. Each project
implementation should move the District to new ways of doing business, contributing to
the District’s strategic plans, mission and business vision. Each project is “owned” by a
member of the Steering Committee who serves as the Project Sponsor. The success of
individual project implementations is the responsibility of a Project Manager. Project
Managers are accountable to the Steering Committee through their respective Project
Sponsors. The GIS Program will support Project Managers in the areas of integration and
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12. change management (including transition, training and communications), but it is up to
individual Project Managers to determine how to best use their team resources.
2.3 Change Management Roles and Responsibilities
Responsibilities of the principal teams involved in the GIS implementation are described in
the following paragraphs according to the roles each team is expected to play.
2.3.1 Program Level
GIS Steering Committee. The Steering Committee provides sponsorship and advocacy
for the GIS Program across the District. Members of the GIS Steering Committee serve as
initiating change sponsors for the program. They broadly define desired changes, establish
business objectives, and articulate the mission and scope of the GIS projects across
functions and locations. The Steering Committee Chair serves as the Executive-level
sponsor for the GIS change management process. The change management responsibilities
of the Steering Committee include:
• Actively supporting and advocating for District change and the corporate change
process,
• Dealing with resistance at executive levels,
• Building commitment and support for the program with senior management.
District-wide GIS Manager. The District-wide GIS Manager serves as, among other
things, the central change management office and a key “change agent” for the Program.
Among other tasks, the GIS Manager establishes the change management strategy, and sets
policy for the commitment-building process. The GIS Manager elevates change
management issues to members of the Steering Committee or other executives, as
appropriate, and provides recommendations regarding planned, opportunistic and emergent
change matters to the Steering Committee. With respect to change management, the GIS
Manager:
• Acts as the “change champion” for the GIS implementation,
• Rallies support and secures commitment for the GIS from senior management,
• Helps identify and secure needed change management resources,
• Helps to define and launch GIS projects,
• Tracks and communicates progress toward defined objectives,
• Helps resolve conflicts and solve problems with respect to the GIS throughout the
District,
• Carries out ongoing commitment-building activities with process owners,
functional leaders, and other stakeholders.
Program Change Management Team. The Program Change Management Team (CMT)
is part of the Program Office. Members of this team operate in a corporate consulting role,
providing standard frameworks, a common language, and tools for change management
throughout the District. They develop the change management Strategy, the Change
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13. Readiness and other assessments, Performance Measures, the District Competency Model
and change management tools. Other responsibilities of the Program Change Management
Team include:
• Serve as the coordinator of change activities for the GIS Program
• Assist the District in change activities by furnishing change management methods,
frameworks, and best practices, and by sharing lessons learned within the GIS
Program,
• Facilitate communication and coordination between and among projects, locations,
and functions, and with key GIS stakeholders throughout the District,
• Roll out and monitor the District change strategy and associated tools and
templates,
• Identify change issues and facilitate their resolution through the Planning Manager,
• Coordinate training strategy with the Steering Committee,
• Communicate program-wide information,
• Partner with process owners on change management and training implementation
as requested,
• Act as the Program’s “listening post” for surfacing planned, opportunistic and
emergent change issues,
• Recognize effective performance and celebrate successful change at the Program
level.
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14. Section III
Strategies for the Change Management Processes
This section outlines the GIS strategies for Transition, Communications and Training, the
three major change management processes.
3.1 Transition Strategy
Transition activities are those activities, outside of training and communications, that are
necessary to align people and culture with changes to systems and processes. Transition
activities take place at both the transformational level (strategic) and the transactional level
(tactical). The transformational aspects of change target fundamental, strategic aspects of
the organization, such as its mission, underlying business models, and culture. The
transactional aspects of change tend to be more tactical or incremental, addressing things
like policies and procedures, work unit climate, management practices, or organizational
structure. The GIS strategy for supporting transactional change is a two-pronged
approach:
• Transactional change: Most of the transition activities at the transactional level of
change will be carried out by Implementation Teams, although the Program
Change Management Team will perform some of this work on an District-wide
basis when most or all of the locations have similar needs and it makes sense to
“centralize” a certain set of transactional change tasks. The CMT will also provide
assistance as required at individual locations in supporting their change activities.
• Transformational change: The Program Change Management Team will work
collaboratively with the District on transition activities at the transformational level
of change. These efforts will be principally directed at key stakeholders.
3.1.1 Transition Activities
Due to the GIS Program’s phased approach to implementation, the District will see several
module implementations over the schedule duration. Therefore, transition work can be
broken down into initial work that must be done when preparing for the GIS for the first
time, and repeating work that must be carried out when preparing for and conducting each
new module implementation. Further, some differences in the repeating work will occur
between locations. These activities are briefly described here; additional information about
specific activities can be found in the Transition Management Framework and the GIS
Tool Kit.
Initial Transition Activities. Initial work at each location includes mobilizing the change
team, preparing the Project Implementation team, and assessing the “change readiness” of
the given location. Activities include developing the scope, mission, and vision statement
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15. for the location and initiating team development processes for the Project Implementation
Team.
The term “change team” refers to a somewhat informal, loosely structured group that
performs all kinds of change management activities (communications, training, and
transition). The change team is comprised of all the people at a location who are going to
be carrying out change activities. Typically, this will include members of the Program
Change Management Team, and might also include members of the Project
Implementation Teams, particularly for large efforts.
One of the first tasks of any Project Team is to analyze the current situation and define the
purpose and nature of intended changes for the Module that will be implemented, then
outlining a comprehensive change plan to align people, systems and structure for the
Project. The outcomes sought and activities involved are summarized in Table 3.1
Table 3.1. Initial Transition Activities.
Mobilize the Change Team Assess Change Readiness
• Understanding of target groups and
needs
• Clarity of purpose, vision
• Understanding of current
• Team roles and responsibilities environment (strengths,
Outcomes established and communicated weaknesses)
Sought • Define the change management • Understanding of level of sponsor
approach and describe activities commitment
• Obtain sponsor commitment • Barriers to change and solutions
have been identified
• Clarify project charter and vision
Activities • Establish change team • Conduct readiness assessment
and • Assess current environment
• Build project team credibility
Actions
• Leadership training
Repeated Transition Activities. The activities repeated for each module implemented
can be categorized into three major groups:
• Design Change Activities: Developing change management plans to facilitate
change towards the desired state.
• Implementing Change Activities: Building understanding and commitment to
change, training staff, motivating staff to pursue new goals or outcomes, and
establishing new ways of working.
• Sustain Changed Behavior: Institutionalizing and “refreezing” new behaviors,
supporting cultural change and empowerment of the workforce, establishing
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16. enduring continuous improvement processes, and building measurement processes
to assess the extent to which change and learning have occurred.
The outcomes sought in these activities are summarized in Table 3.2, below.
Note that in addition to the activities described above, it may be necessary to repeat
some of the initial activities, such as when new members join the Project
Implementation Team or change team, or if other circumstances appear to warrant it.
In general, it may be necessary to refresh the vision depending upon the outcomes
promised by the new module being implemented.
Table 3.2 Repeated Transition Activities
Design Change Implement Change Sustain Changed
Activities Activities Behavior
• Growing awareness
of need for change • Measurable results
• Growing commitment • New skills being • Recognition of project
from sponsor acquired success
Outcomes • Agreed approaches • Management • Continuing
for addressing major involvement in GIS assistance to users
Sought barriers
• Learning shared • Feedback and shared
• Change activities within, across learning
widely communicated locations
• Process improvement
• Recognition of in place
successes
• Performance
• Promulgate new Management
policies, processes,
• Identify, major procedures • Comprehensive
change issues Progress Assessment
• Maintain sponsor
• Develop sponsor’s
activity plan involvement • Assist users
Activities
and • Resolve major • Lessons learned
• Develop project
Actions change issues analysis
measurement system
• Measure progress • Improvement
• Configure change planning
program, integrate • Institutionalize new
into Roll Out Plan role design, any new • Recognition and
organizational celebrations of
structures success
3.1.2 Transition Activities at the Program Level
The Program will develop and execute a series of activities at the Program level to benefit
all locations, including the following:
• Diagnostic visits to clarify location objectives and needs,
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17. • Project management training for those persons who are to serve in leadership roles
but who have never had the training. This training will cover cost, schedule, and
risk management,
• Change leadership training for members of the Project Implementation Teams and
optional for project managers. This training will be directed toward those who lead
the change effort at a location and will cover selection and use of change
interventions,
• Transition workshops to keep all locations informed about project progress, roll-out
schedules, and preparations that need to occur.
Metrics. The Program Office will also establish a series of change management metrics
that can be used to measure progress toward a particular implementation. These metrics
are addressed in Section 4.
The GIS Program Change Readiness Assessment. The Program Change Management
Team will work with the District to customize and administer this survey. As needed, the
team will support locations with planning for administration, analysis, and interpretation of
results. The survey results, to be provided at a minimum to project managers in the form
of a facilitated workshop, will help them prepare for the GIS implementation through the
identification of organizational “showstoppers” and other significant barriers to change, as
well as those elements of the culture that may facilitate implementation. The survey
results will provide data around which a location specific change plan will be built.
Periodic re-surveys will provide the District with improvement measures relative to GIS
change progress.
Commitment Building. Commitment building covers an array of activities that prepares
the organization for change by increasing awareness and understanding of the GIS program
objectives and the process of change. The CMT will continue to provide other
commitment-building services including Stakeholder Analysis and Planning, training for
change advocates and leaders to provide processes and techniques for identifying and
managing resistance to change. The CMT will work directly with implementation teams
and project managers to build their knowledge and skills relative to change management
during this phase.
Organization Design. The GIS will inevitably bring changes to the way work is done and
how it is organized. Many of these changes are accommodated through the organizational
alignment activities carried out as part of a given implementation. Once the functional
organizations have experience with the new system and processes, opportunities to
redesign the organization of work will emerge.
Vision Development. If the vision of transforming the way the NEORSD does business is
to be realized, it must be realized by the Program Office. The Program Change
Management Team will assist the District by working with leadership to develop a
“business vision” that is congruent with the vision espoused by the Program Office:
challenging, achievable, and promising benefits commensurate with the likely cost and
effort to achieve it.
9

18. 3.2 Communications Strategy
This section outlines the Program Office’s approach to Program level (or “global”)
communications. It also describes the framework that will be developed to deliver content
to Program level audiences, and support to Implementation Team members responsible for
project level (or “local”) communication activities.
3.2.1 Communications Approach
Effective communications is an essential part of how the Program Office will address the
critical change needs of the GIS Program, particularly in the areas of culture, vision and
strategy. The vision for the GIS – at the Program and Project levels – is the compelling
story that will energize and support the change effort.
Culture. Culture is the deeply held values, beliefs, and assumptions that exist within any
society or organization. Although culture is deeply embedded in organizations, it is
manifested in their observable behaviors, language, symbols, and stories. It is easy to see
how communication relates to, and has the potential to help influence, the cultural aspects
of change.
Vision. The Program vision should articulate the undeniable need for change, and link the
GIS program to the overall success of the District. Communicating the vision with clarity,
a sense of urgency, and in terms that are compelling and inspiring, helps create and sustain
momentum.
Strategy. The Program strategy should clearly outline the GIS implementation approach.
Communications will play a significant role in delivering the Program vision and strategy
to all critical stakeholders.
The communications process is a cycle of basic, repeatable activities. These activities
include developing relevant content, delivering relevant content to key stakeholders,
motivating and directing behavior in key stakeholders, and collecting feedback to measure
the impact of the communication efforts.
Vehicles
 Developing relevant content
 Delivering relevant content to key stakeholders
Feedback  Motivating the desired actions from key stakeholders
 Collecting key stakeholder feedback to measure the impact
Content
Stakeholders Action
Feedback
10

19. Figure 3.1. The Communications Process.
The Program Office approach incorporates a number of industry “best practices”. These
communications best practices include:
 Establishing concise, attainable objectives in support of the business case;
 Identifying key audiences as those who can “make or break” the effort;
 Creating a few clear, concise and repeatable messages;
 Delivering messages via many messengers and a range of vehicles;
 Creating content that shifts perceptions, spurs actions, and achieves results;
 Gathering feedback on the impact and effectiveness of the communications
effort;
 Using feedback to refine and adjust the effort on an ongoing basis.
Communications Objectives. Communications objectives are clear, concise statements
of desired outcomes to be achieved as a result of the communications efforts. These
objectives should be aligned with, and support the vision, goals and business objectives of
the GIS program. Specifically, as a result of Program Office communications efforts,
Program-level audiences should understand:
• The “One District” concept – a standard way of doing business,
• The compelling GIS vision, and how it will contribute to “e-Readiness,”
• How the GIS implementation process will unfold,
• What locations will need to do to prepare for implementation,
• Responsibilities of the Program prior to and during implementation,
• Roles and responsibilities of specific project teams.
3.2.2 Audiences, Messages, and Vehicles: The Who, What and How of
Communications
A communications strategy is typically built around what information needs to be
communicated (messages), who needs to receive this information (audiences), and how the
information will be transmitted to target audiences (communication channels or vehicles).
This section briefly describes the GIS point of view on these elements of communications
strategy.
Key Audiences. There are a number of stakeholder groups who are critical to GIS
program success. The characteristics of these key audiences are their role(s) in the
Program and/or their vested interest in its success. Within this document, Program level
audiences (versus project level) will be the primary focus. In identifying these audiences,
it is important to group them together in manageable segments. An effort should be made
to understand the perspectives and issues of each key audience group. This will help
ensure properly targeted vehicles and relevant content.
11

20. Core Messages are clear and concise statements – high-level “themes” – that should be
reflected, to the extent possible, in all Program communications activities and materials.
They should be relevant, limited in number, and free of technical jargon and management
spin. In creating these core messages, there are three levels to be considered:
 Strategically, communications should align GIS program action with NEORSD
business objectives, and deliver the powerful message that the future depends
on the GIS success.
 Tactically, communications must deliver the details of how the GIS
implementation will unfold and what actions are required of whom and when.
 Personally, communications should carry a credible "what's in it for me" by
articulating the personal benefits that individuals will receive as a result of
implementing and using the GIS.
As part of the Program communications strategy and plan, there are two sets of messages
that have been created to articulate both the “Why” and the “How” of the GIS program.
Strategic Core Messages (or “Why are we doing this?”)
 The GIS Program delivers technology the District needs to change the way it does
business, and lays the foundation for the future.
 The Program is taking a “One District” approach – the GIS Program delivers new
District-wide processes that will only work if everybody implements and uses the
system in the same way.
 The GIS will provide timely, consistent and reliable information for management
decisions, and allow for the exchange of information with customers and
stakeholders.
 The GIS will improve accountability and will help achieve efficient and effective
operations.
 The GIS will provide expanded opportunities for employees, and help attract and
retain a world-class workforce.
 Many systems are out-of-date, in need of major upgrades, or not integrated.
Tactical Core Messages (or “How are we doing this?”)
 The GIS Program will provide standard business processes and systems
configurations, training and transition management to support project
implementation efforts.
 The GIS Program provides a series of manageable projects, new business
processes and District-wide teams to help get the job done.
 The GIS Program will work with Leadership and Functional Process Owners to
develop their tailored implementation schedules.
 The success of the GIS Program depends on the efforts of the Project Teams
working at the various locations.
12

21. Consistency and repetition of these themes in all Program communications will result in
core messages that are received and remembered. Over time, they should also help build a
compelling desire to take action among key audience members.
Communications Vehicles are the means by which messages are delivered to audiences.
Examples include websites, newsletters, and memos. From the foundations of
communications objectives, key audiences, and core messages, the communications plan
helps schedule the communications process in terms of vehicles, timing and sequence.
3.2.4 Communications Framework
In support of a coordinated communications effort between the Program and projects, a
communications framework detailing roles, responsibilities, and dependencies will be
established. The framework will be the working structure through which all
communications are delivered. It will help establish a clear division between Program-
level and project-level responsibilities in delivering content to key audiences and sharing
information.
In implementing its communications plan, the Program will keep the Project teams
apprised of any significant revisions to the “global” communications strategy and plan,
The Program will also regularly update and share standard approach documents that can be
used to create “local” communications strategies and plans as needed; a set of
communications tools and templates that can be tailored for use at “local” levels; and
provide communications counsel and support, and/or training, as needed.
3.2.5 Implementing the Communications Program
The Program will plan their “campaign” of tactical communications activities in shorter
periods of time or “phases.” Each phase is developed with specific objectives to be
achieved within a determined period of time. This approach of breaking up the campaign
(the long term objectives) into a series of phases (short term objectives) allows for a more
focused and manageable effort. It also facilitates a more measurable, and thus more
responsive, effort in the long-term as the time between phases allows for assessments of
prior period communications activities. The Program plans to leverage three basic types of
mechanisms in gathering key audience feedback:
Event-Based: These are used to measure the effectiveness of specific communications
vehicles in accurately delivering the intended message. Examples include reply cards
distributed at GIS presentations and evaluation forms at the end of future training sessions.
Periodic: These are used to regularly assess how well core messages are being received,
and if the communications program is moving key audiences in the desired direction.
These periodic assessments will follow-up an initial “baseline” assessment the Program
conducts at the inception of the implementation planning. The results of these follow-up
assessments will help us understand progress made since establishing this initial
“baseline.” Examples of periodic mechanisms include detailed written surveys, interviews
and focus groups.
13

22. Performance-Related: In terms of linking communications efforts with specific business
results, these will be the most difficult to measure. They will vary depending on the
business metrics the Program will choose to track its success.
Through this feedback, we will learn which messages have been delivered most clearly;
which vehicles are most effective; and whether Program messages are spurring the desired
actions. The Program will then work to incorporate this learning and new information into
the ongoing communications effort - refining and adjusting the communications strategy
and plan on an ongoing basis.
3.3 Training Strategy
3.3.1 Overview
The education and training of NEORSD staff – to perform new tasks, use new technology,
fulfill new roles, and engage in new work behaviors – will be critical to the success of the
GIS Program. District staff currently possess a variety of skills, knowledge, and abilities
that they can naturally transfer to the new ways of working that the GIS will entail.
However, it is expected that as the organization and nature of some areas of work change,
varying degrees of education and training will be required to help some staff members
develop new skills and learn new ways of working.
Some staff members’ roles and responsibilities will be expanded, and therefore they must
understand and be skilled in a greater variety of tasks than was required in the “old way” of
working. Learning activities, therefore, will be one of the most important ways that the
District will close the gap between current skills and knowledge and the skills and
knowledge that will be required to successfully function in the new GIS environment.
This section outlines the GIS Program’s philosophy and approach with respect to training
for specific GIS elements as well as the strategy for developing the required skills and
knowledge to support the GIS implementation more generally (e.g., change management
training). The GIS program will follow an accepted education and training industry
process known as Instructional Systems Design. This process includes the following
phases: Planning and Needs Analysis, Course Design and Development, Delivery, and
Evaluation and Improvement.
Mission, Goals, and Scope of GIS Training. The GIS Program’s mission with regard to
training and learning is to:
• Develop and articulate a comprehensive learning strategy for the GIS
• Coordinate and monitor execution of the GIS learning strategy
• Develop learning interventions to support District-level transformation
• Support and offer guidance to locations and their projects
• Establish standards and procedures for instructional methods and learning
technology approaches
14

23. Although the Program Office, and the Program Change Management Team in particular,
clearly play an important role in planning, coordinating, and supporting training activities
for the GIS, at its heart, GIS-related training will be a District activity. Most of the
training done as part of the GIS Program will be developed by project, then customized
and delivered at each location by District personnel.
In addition, the following assumptions serve as the core philosophy underlying the GIS
learning program efforts:
• Training is only one of many interventions that must be applied to increase
performance. The importance of ongoing learning must be reinforced and
supported through other human performance systems,
• The most effective and efficient learning delivery methods for a curricula or
course1 will be selected based upon an analysis of learning needs and learning
styles of staff,
• Learning for the GIS will be on-going and work-related, taking place on-the-job as
well as in the classroom,
• The responsibility and accountability for learning and development is jointly shared
between managers and employees.
3.3.2 Types of Training
The GIS Learning Portfolio will consist of four major curriculum areas: Pre-requisite,
Application/Process, Supplemental and Enrichment.
Pre-requisite Training. Pre-requisite courses provide instruction in the knowledge, skills
and abilities needed to attend application and process training courses. Typically, this will
include skills required to navigate the system, such as basic personal computer skills, or
proficiency in the use of web-based applications.
Application / Process Training. This curriculum area focuses on what the users need to
do to function in their new roles with new software. It includes training in how to use the
new software applications as they have been configured for use with District processes.
Enrichment Training. Enrichment training is essential to the success of the GIS
Program. It is non-technical training that assists learners in leading, managing projects and
embracing change. It consists of training in the areas of Change Management, Leadership,
and Project Management, and will vary based on location needs. For example, a project
team may find it needs skills in incorporating the change vision into project team goals.
Or, a specific location may desire an understanding of the key attributes of leadership in a
major change effort.
1
The term “course” is used throughout this document to refer to any type of planned learning event, and is not
limited to classroom delivery or formal group training activities.
15

24. Table 3.4. Types of Training Anticipated in the GIS Program.
Types of Training
Prerequisite Application / Enrichment
Training Process Training Training
Examples Basic computer Using the GIS to Change
skills update drawings Leadership
Target Any prospective Application users Project
Audience user Leaders
It should not be assumed that these three types of training are linear. In other words,
applications training will not necessarily occur before enrichment training. In fact, it
would not be uncommon for enrichment training to begin prior to applications training.
Enrichment learning may occur at different timeframes in the implementation process,
depending on specific needs relevant to the content of interest (e.g., change management
training).
3.3.3 Roles and Responsibilities for GIS Training
Program Level
GIS Program. The Program Office, and in particular the Program Change Management
Team, will play an active role in forming the vision and philosophy for training, and
shaping the training approach for GIS activities across the District. In addition, the CMT
will:
• Develop frameworks, guidelines and standards for use throughout the District,
• Act as a central repository for training feedback and lessons learned,
• Share training lessons and best practices (collected from within and outside the
District),
• Anticipate and plan for future training needs,
• Address common or overarching training needs at the District level,
• Monitor and promote efficiency in the overall training program,
• Provide development standards to foster consistency and facilitate knowledge
sharing,
• Help coordinate between the various players in the training arena, including
clarifying their respective roles and responsibilities,
• Provide guidance and assistance in designing and delivering pre-requisite and
enrichment training.
• Assist in preparing to roll out Application / Process training (upon request).
Project Level
16

25. Project Teams. The Project Teams will develop and pilot application and process training
for their modules. They will provide their products to the District, and make their
expertise and subject matter experts (SMEs) available to serve in a consultative role. The
Project Teams will develop module-specific training plans, design training curricula, assess
training needs, and identify and train SMEs. With support from the Implementation
Contractor, the Project Teams will develop District training materials, job aids, and
procedure manuals. It is here that development and integration of process and application
training for the District will occur.
Key members of the Program should work with CMT, participate in skill assessments, and
be responsible for formulating the pre-requisite training program for the District.
Specifically, these responsibilities should include:
• Formulating or procuring appropriate courses for prerequisite training,
• Maintaining a master calendar of training events and activities,
• Preparing and distributing training announcements,
• Coordinating logistics – including things like registration, enrollment, facilities,
and audiovisual – for training events and other GIS learning activities,
• Assist with GIS training evaluation, including distributing, collecting and analyzing
evaluations of training activities.
3.3.4 Roles and Responsibilities by Type of Training
Pre-requisite Training
The determination of the need for this training, and for ensuring that learners possess
essential pre-requisite skills, is the responsibility of the Project Office. The Project Office
is responsible for helping to develop and deliver specific offerings; and the GIS Program
will assist, if needed, by providing assessment tools that can be used to determine training
needs and by locating suitable training courses or materials.
Application / Process Training
This training is developed and piloted by Project Teams and the implementation contractor
as part of the pilot implementation at a location, and is then revised and rolled out to the
District. Delivery of application/process training is the responsibility of the District, with
some assistance from the Project Teams.
Enrichment Training
Depending on the scope of the enrichment training being offered, the responsibilities will
vary. For example, the Project has primary responsibility for any change management
training that relates to a specific module. While the GIS Program will take the lead on
providing workshops that have a broader scope such as, Managing in an GIS Environment.
17

26. 3.3.5 Learning Approach
Approach to Training Design and Development
Standardization of Training Materials. The GIS Program will develop standard formats
and specifications for training materials (e.g. visual aids, student guides, facilitator guides)
and facilitate their use by internal trainers in order to further efficiency and consistency
across the Program and to reduce the cycle time for developing new materials. The
Program will use a modular approach to training, so each “chunk” of training will be
somewhat generic, requiring locations to tailor and customize training courses. This will
help specific locations to more easily build a training program to meet their unique needs
and allow for ease of transition to alternative modes of training. The GIS Program will
also inventory and evaluate the applicability of training materials currently available in
order to avoid the unnecessary expenditure of time and effort to recreate training materials
from scratch.
Approach to Training Delivery
Delivery Approach. Our approach to delivery will be “just in time” education, with
offerings delivered as close to the implementation as possible with the appropriate amount
of lead time. We recognize that different modules may require different delivery
approaches and will utilize the appropriate mode of delivery to maximize learning. Pre-
requisite training will precede Application/Process Training. Management will be
responsible for ensuring that learners receive pre-requisite training if required. We
anticipate that instructor-led delivery will be the primary delivery vehicle for the major
modules and expect to employ a train-the-trainer approach.
3.3.6 Measurement of Learning
The GIS Program will establish a framework and measures to determine the learner’s
mastery of the learning objectives and opinions of the training activities. Evaluating the
effectiveness and application of training is critical. The evaluation process will go beyond
reactions to the training to assess how and if training concepts and skills are being applied
and are contributing to the achievement of the GIS Program objectives.
Learning Evaluation
Evaluation of immediate feedback of the training. Evaluations provide a good source
of feedback on possible improvements to the learning experience. We will accomplish this
through course evaluations administered at the conclusion of the training session. The
evaluation will capture participants’ reaction and feelings about content and delivery. The
GIS Program will create a sample evaluation to be used for every training experience. This
will provide consistency in feedback from learners and allow for comparison and
evaluation of learner reactions. For this comparison, the GIS Program will recommend an
index of questions. This will allow flexibility in utilizing additional questions or tailoring
18

27. the instrument for alternative media. Information gained will be used to refine and revise
the offerings and /or the training and delivery plan.
Application on-the-job of skills learned in training. This evaluation measures the
transfer of concepts learned in training to the work environment by a change in behavior of
the participant. It is expected that the GIS Program will look at learning measurement in
conjunction with the functional organizations. The assumption is that much of the data
that is planned to be collected will include behavior change metrics that can be utilized for
learning evaluation.
3.3.8 Critical Success Factors
Allocation of sufficient training resources. Time needs to be allocated for the technical
experts that may be called upon to instruct. This time needs to cover the trainer’s own
learning activities, as well as time to be spent training others. Trainers must also be
considered compensated and measured by their contribution to the overall success of the
training implementation.
Appointment of talented and accountable training representatives. Training will be a
continuing concern before, during and after a module roll-out. It is essential that the
Projects have a capable member to maintain an understanding of the whole scope of GIS-
related training.
19

28. Section IV
Applying Change Management
The preceding sections of this document have described the outcomes expected from each
phase of the change effort, the roles and responsibilities for achieving these outcomes, and
some of the important change strategies that will help ensure success. This section
summarizes the change management responsibilities at a location, and describes
performance metrics for assessing the progress of change management work.
4.1 Summary of Change Management Responsibilities
Change management activity for the GIS Program starts in mid-year 2002, and will
continue until the complete GIS is implemented. One of the functions of the change
management function is to help realize the full measure of benefits that accrue from the
implementation of reengineered processes and new technology, and to move beyond
efficiency gains to new ways of doing business. This means that the change management
function must move beyond “getting the system in” and be a continuing force in using the
processes and systems.
4.1.1 Change Capabilities at Each Location
Each location needs to establish an ongoing capability to manage the change inherent in
the GIS Program, regardless of their role at any given time in the project. The GIS
Program has recommended that this continuing capability be vested in a Project Team,
which would include persons with change management and information technology
capabilities. A continuing change management capability is needed because the GIS
vision transcends the capabilities of any single module, and continuing attention to change
will be necessary if this vision is to be achieved.
Establish and Mobilize the Change Team. In many cases, core membership on the
change team will be the same, or nearly the same, as the CMT. Additional members of the
change team might include key staff, project team members, and other staff who play
change management roles with respect to the functions/processes being changed. Because
the roles and responsibilities of the change team are broad and somewhat “fuzzy” by
design, the structure and composition of this team is not as clearly prescribed in the CM
strategy as other teams. Although the change team is an enduring one, lasting for most of
the duration of the GIS Program, the team’s objectives, activities and composition are
likely to change relatively frequently. It is up to the Steering Committee and the individual
projects to determine who is, and who is not, a part of the change team at any given time.
Once its members are identified, the change team should gain an understanding of the
mission and vision of the GIS Program, and how the various projects contribute to that
vision. The team should make contact with the various projects, establish regular
communications with the project leaders, and gain an understanding of the roles that will
be required during project implementation.
20

29. One of its first tangible tasks will be in the area of communications. There is an ongoing
need to share information about the GIS Program with District staff, initially to raise
awareness and clarify its purpose, scope, and implications for a given location. It is up to
the change team to carry out some rudimentary communications activities as soon as
possible, while simultaneously developing a more robust communications strategy and
plan for future communication activities. The communications strategy and plan should be
designed to support all the specific projects being implemented, as well as the overall
vision of the GIS Program and the business vision for the District. This centralized
planning approach facilitates a consistency of communications and eliminates the need to
develop multiple strategies and plans for each individual project.
Assess Change Readiness. The change management team should begin to assess the
readiness for change before the first project implementation begins. The change team
should work with the Program Change Management Team to customize a survey and plan
for its administration.
In addition to this overall assessment, the District should begin to understand the readiness
of various segments of their workforce to participate in user training for the various
projects. This will require that the District understand the targeted populations for each
project, and the skills needed to participate in application/process training. In most cases
this will be familiarity with desktop applications, but may include things like internet skills
(e.g., web-browsing) or special functional skills (e.g., drafting). Needs for prerequisite
training should be determined well before user training is scheduled to begin.
The GIS Program Office makes sure that the vision for the GIS Program does not get lost
in the frenzied activity of module implementation. In addition, the Program Office ensures
that each location is aware of progress in module implementation, and is providing timely
notice regarding work that must be done to prepare for module roll out.
Table 4.1. Summary of Expected Change Management Outcomes
Phase Desired Outcomes
Mobilize the Change • Clarity of purpose, vision
Team • Roles and responsibilities established and
communicated
• Define the change management approach and
describe activities
• Sponsor commitment
Assess Change • Understanding of target groups and needs
Readiness • Understanding of current environment (strengths,
weaknesses)
• Understanding of level of sponsor commitment
• Barriers, solutions identified
21

30. Phase Desired Outcomes
Design Change • Communication plan accepted
Activities • Training plan accepted
• Growing commitment from sponsor
• Agreed approaches for addressing major barriers
• Change activities widely communicated
Implement Change • Growing awareness of need for change
Activities • New skills being acquired
• Management involvement in the GIS
• Learning shared within, across District
• Recognition of successes
Sustain Changed • Measurable results
Behavior • Recognition of project success
• Continuing assistance to users
• Feedback and shared learning
• Process improvement in place
4.2 Change Management Performance Metrics
4.2.1 Overview
“What gets measured gets done.” This saying is based on the premise that things get done
right when specific people are held accountable for specific actions and outcomes – and the
best way to hold people accountable is by observing, evaluating, and reporting on what is
expected of them. In this spirit, we will use metrics (quantifiable measures of
performance) as part of our performance management process. Following are some of the
valuable benefits of metrics:
• Developing metrics helps clarify goals. While it may be easy to agree “in theory” on
key goals, making goals operational in the form of specific, measurable performance
criteria tends to be considerably more difficult. The very process of developing
specific metrics creates a better understanding of what the most important desired
outcomes for a change program are, as well as some of the important actions that will
be required to achieve them.
• Developing metrics will help communicate and reinforce expectations. After key
goals are agreed, there is a need for clear understanding among all parties regarding
“who does what to whom,” including how and when specific people must execute
certain actions and/or accomplish certain outcomes. Such role clarity is critical to the
success of change programs. Just as specific measurable criteria help create real
agreement about goals and objectives, they can also help create a better, clearer shared
understanding of what is expected of various stakeholders. Given the level of
22

31. collaboration required for the GIS Program, clear expectations (i.e., about who is
responsible for what, using unequivocal language and precise terms) will be essential.
• Metrics allow change programs to gauge and communicate current performance
relative to expectations. Once goals and roles have been clarified through the
development of metrics, the actual measurement and reporting of metrics will serve as
valuable feedback. By pinpointing the gaps between current performance and expected
performance, using clear and sensible metrics, problems and issues may be understood
and addressed as they arise. With robust communication and reporting, the right
people will be made aware of performance gaps, and thus will be better able to mitigate
and correct problems so that implementation plans can be kept on track.
• Metrics help establish accountability for executing critical tasks and achieving key
objectives and program milestones. When people know that their performance will
be measured and reported back, those responsible for key tasks and outcomes will be
more likely to do what is necessary to meet the performance criteria they are being
measured against. By clearly communicating (a) who is responsible for what, (b) what
will be measured, and (c) the performance criteria that must be met, the program can
achieve the levels of accountability needed to sustain complex change efforts. The
reporting of metrics, in and of itself, may serve as a useful motivator for desired
behavior on the part of change agents and stakeholders. When accurate and timely
performance results are displayed publicly, for example, the good results that follow
effective performance serve as recognition for a job well done. Conversely, the threat
of publicly communicating unfavorable results can also help motivate people to avoid
failure by making sure to do those things for which they are responsible and
accountable.
• Metrics will help to identify issues so that the program office will know where and
what kind of help is needed. Specifically for the GIS Program, metrics will be used to
track progress at the locations, and to help identify where and what kind of help is
needed. Given the substantial coordination efforts that the GIS Program will require, a
common set of metrics to track progress toward key objectives and milestones is
critical.
4.2.2 Purpose and Scope of Change Metrics
There are three types or “levels” of GIS performance objectives and metrics: (1) District
transformation, (2) functional/process performance, and (3) implementation and change
management.
Table 4.2 The Three Levels of GISP Performance Objectives and Metrics.
Type of Metric Time Frame Scope Sample Objective
District Long-term, Transformational Strategic repair decisions made
23

32. Transformation Strategy-focused based on accurate engineering
and service data, as well as
relevant cost and value driver
information.
Functional / Ongoing, Transactional Across the District, drawings
Process Process-focused revised and accurately modified
Performance within a 48 hour period.
Implementation Short-term, Transitional Functional representatives from
and Change Implementation each location participate in
Management focused District Design phase to design
new process blueprints for
appropriate processes and
functions.
The change metrics presented here belong primarily to the third category, implementation
and change management metrics. Unlike process metrics, where the performance targets
may change but the metric itself tends to remain unchanged (e.g., drawing update
accuracy), implementation metrics are, at some point, completed. Once completed
satisfactorily, implementation objectives and metrics need not be revisited. Thus, while a
process metric for drawing updates can be reported each and every month indefinitely,
implementation metrics are necessarily time-delimited. For instance, a project that has met
all performance criteria for the objective “Functional representatives from each location
participate in District Design” has checked the box, so to speak, for that objective and
therefore will not be measured again on that metric.
District transformation metrics and functional/process performance metrics are addressed
in the change metrics only to the extent that process metrics must be created and reported.
The change metric does not specify what the objectives or performance criteria should be
for District transformation and functional/process performance, only that they be
established and that, once created, performance is measured and reported.
Implementation and change management metrics, on the other hand, are spelled out in
some detail (see below). These metrics cover everything from program and project start-
up activities, to module roll-out, to ongoing responsibilities that will be measured during
the life of the GIS Program. Metrics will be reported for each location, reflecting a single
set of metrics for overarching objectives. Project metrics are repeated for each module.
4.2.3 Approach: Who and What Gets Measured
Metrics are organized according to their appropriate phase of implementation (i.e., where
the metric fits within the overall sequence of implementation activities). For the purpose
of change metrics, there are seven phases of implementation, as shown in Table 4.3.
24

33. Table 4.3. Change Management Phases of GISP Implementation for Use in
Understanding and Using CM Metrics.
Phase Name Comments
1. Program start-up Includes establishing the Project Implementation Teams.
2. Project initiation* Includes all necessary start-up activities for a module.
3. District design* The project team for a module is responsible for leading District
design activities for relevant processes.
4. Pilot The pilot location for a module is responsible for pilot
implementation* implementation.
5. Hand-off* Pilot locations an other functional areas share responsibility for
hand-off activities.
6. Roll-out* Project teams are primarily responsible for roll-out activities.
7. Ongoing This includes ongoing project team responsibilities and lasts for
the duration of the GIS for each location.
* These phases are repeated for each module.
Metrics are also organized according to who gets measured (i.e., who is responsible /
accountable). For each phase, a set of overarching program objectives is created. Then,
for each program objective, a more detailed sets of role-specific objectives and metrics is
created.
Combining the two dimensions on which metrics are organized – (1) phase of activity and
(2) who is responsible – yields a matrix that will serve as the overall framework for the
GIS Program implementation and change management metrics.
The program objectives around which role-specific objectives and metrics were created are
listed in Table 4.4, below. Note that these are the overarching objectives for the entire GIS
Program. Associated with each program objective is a corresponding metric or set of
metrics for one or more of the roles listed above.
Table 4.4 Measured Program Objectives by Phase.
Phase Program Objectives
Program start-up 1. Develop and communicate the GIS vision
2. Secure commitment for the GIS
3. Establish the GIS Program governance structure
4. Lay the groundwork for the GIS projects and implementation activities
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34. Phase Program Objectives
Project initiation 1. Define the GIS project/module; develop the business case
2. Build support and commitment for the project/module throughout the
District
3. Secure sponsorship and funding
4. Launch the project
District design 1. Design new process maps to be effective throughout the District
2. Build and sustain the commitment and support necessary for the projects/
modules to be successful
3. Communicate design progress and change implications across the District
4. Coordinate design activities across the District
5. Develop initial change plans for successful implementation
6. Map process and technology changes to specific benefits
7. Develop metrics approach for tracking performance
Pilot 1. Measure current “baseline” performance at a pilot location
implementation 2. Implement changes; track and communicate progress
3. Set the stage for effective roll-out; begin building skills and transferring
knowledge to other locations by conducting training and involving them in
the pilot implementation
4. Pilot location staff are effectively using new processes, technology
Hand-off 1. Change management services and materials effectively provided to
subsequent locations
2. Change plans and materials customized for use at subsequent locations
3. Subsequent locations are ready to proceed with roll-out
Roll-out 1. Measure current “baseline” performance at subsequent locations
2. Secure commitment and support needed for successful implementation of
modules
3. Coordinate roll-out activities across the District
4. Implement changes; track and communicate roll-out progress
5. Ensure knowledge transfer between locations
6. Implement modules across the District; ensure that new GIS applications
are effectively used
Ongoing 1. Retire legacy “shadow” systems
2. Support ongoing use of and improvements to the GIS
3. Capture the full strategic potential of the GIS
Finally, while all metrics are important, some are deemed absolutely critical to the success
of the GIS. This “program critical” designation will have important consequences on how
metrics are reported (see below).
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35. 4.2.3 Reporting
Metrics will be reported using a series of “scorecards” or performance reports. These
scorecards will be created using a point system, where each metric is worth a number of
points. Scores for a number of specific metrics will be combined along various dimensions
(by location, by phase of activity, by project or module, etc.). By combining the points
earned for a number of related metrics, a series of bars will be created and displayed in a
bar chart format. A gray bar will represent the target level of performance, based on the
number of points that should have been achieved based on previously agreed schedules and
deadlines. An adjacent bar, colored green, yellow or red, will show actual performance,
based on the total number of points actually earned to date. If all performance criteria and
deadlines have been met, the color of the “actual performance” bar will be green. If any
performance criteria were not met by their target dates or deadlines, then the color of the
bar will be either yellow or red, depending on whether any of the metrics missed were
“program critical” metrics. Missing even one program critical metric results in a red status
bar or “actual performance” bar on the chart.
Metrics will be reported on a cyclical basis (e.g., every quarter). At the end of each
reporting cycle, scorecards will be distributed to key Program stakeholders and sponsors.
The way in which program metrics are structured will yield many possible ways to look at
performance data. For instance, one scorecard might summarize program-wide
performance for each phase of activity. Another scorecard might summarize the
performance of a location across phases. Yet, other scorecards will focus on specific
combinations of locations, modules, objectives, and phases. The Program Office will work
to construct and distribute scorecards so that they are easy to read and capture the
information that is of maximum utility to target audiences.
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36. Appendix A
Overview of the GIS Program Change Management Approach
The NEORSD GIS Program change management strategy draws upon research and field
experience to provide an understanding of change in organizations and approaches for
managing change. This appendix presents a brief overview of the change process.
A.1 The Change Process
Change in organizations is seen as a disruption of established expectation patterns.
Regardless of its nature, it is almost always resisted. Many factors besides the nature of
change itself may fuel resistance, and its intensity and persistence are influenced by
organizational and personal factors. Change management is the process of aligning the
organization’s people and culture with the changes in business strategy, organizational
structure and systems. Several tools are used to bring about this alignment; two of the
most frequently used are communications and training. An aggressive communications
program to inform the organization about what is happening can promote an atmosphere of
openness and honesty, and training in new work process and tools (e.g.: the geographical
information system) is essential to dispel performance fears. This plan integrates a number
of transition activities that will help to align people and culture with the new business
strategy, organizational structure and systems.
A.2 Managing the Change Process
One of the first principles of change management is that persons must understand and
internalize the compelling need to change. While a careful articulation of the advantages
of the change is important, it must be made clear to the organization that the change is a
business imperative—that is to say a “burning platform”, that the organization is going to
change and there is no turning back. Closely allied to this concept is that of consequence
management - what happens to those who embrace the change or to those who continue to
oppose it?
Another imperative is to clearly understand the roles in organizational change, since a lack
of understanding of these roles and who is taking on these roles inevitably leads to
unfulfilled expectations. The roles are:
 Sponsor: the individual or group that legitimizes the change,
 Agent: individual or group responsible for implementing the change,
 Target: individuals or groups that must actually change,
 Advocate: individuals or groups that want change, but have no power to legitimize it.
While most of these roles are clear, the function of the Sponsor is not always understood.
Returning to the definition, the Sponsor legitimizes the change. Legitimize is used here in
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