Change Acceleration Process

CAP Toolkit 2015
Change Acceleration
Process (CAP) Workshop –
Leading Effective Change
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Introduction
Purpose:
This kit is designed to provide leaders and CAP and Work-Out coaches with processes and
tools that facilitate the development of acceptance and commitment for the changes they
lead. Its goal is to help project teams and leaders to mobilize commitment around the
organizational and behavioral changes required to ensure successful change initiatives.
Toolkit Organization:
Part 1: CAP Model and Tools Overview Work-Out Definition and Tools Overview
Part 2: CAP Tool Descriptions
Part 3: Work-Out Tool Descriptions
-2- GE Proprietary Information

CAP Toolkit
February 2010
Part 1
CAP Model and Tools
Overview

CAP Toolkit
February 2010
CAP Model
The CAP model illustrates the key processes involved in facilitating effective change. It
provides a common language for leading and facilitating change effectiveness.
Uses of the CAP Model

The CAP model can remind you of the important elements that you need to cover.
Although the model is recognized as going one direction, with all arrows moving from
current state toward the future state, it DOES NOT MEAN YOU MUST GO IN ONE ORDER.
You can and should revisit tools and processes as necessary to ensure progress toward
effective change. The model supports completion of the conversation around each process,
builds synergies within the organization and ensures your change is still on track. People’s
responses, resistances and understanding will change, so it is important to visit and re-visit
each and every arrow.
The model provides a methodical way to overcome resistance by identifying sources of

resistance and creating influencing strategies to overcome the resistance. This is a
continuous process throughout the change.
Within each process there is a series of tools to help frame the conversations that change
teams need to have around how to create a shared need, how to shape the vision, how to
influence others, etc. but also to understand WHY change is so hard to maintain. If we
cannot help people to change their natural behaviors and habits, they will naturally go to the
path of least resistance (that which is easier and that which is “known”).

CAP Toolkit
February 2010
Seven CAP Process
Creating a Shared Need The reason to change, whether motivated by threat or
opportunity, is instilled within the organization and widely shared
through data, demonstration, and demand. The need for change
must exceed its resistance.
Shaping a Vision The desired outcome of change is clear, legitimate, widely

understood and shared; the vision is shaped in behavioral terms.
Mobilizing Commitment There is a strong commitment from constituents to invest in the

change, make it work, and demand and receive management
attention; Constituents agree to change their own actions and
behaviors to support the change.
Making Change Last Once change is started, it endures, and learnings are transferred
throughout the organization. Change is integrated with other key
initiatives; early wins are encouraged to build momentum for the
change.
Monitoring Progress Progress is real; benchmarks set and realized; indicators
established to guarantee accountability.
Changing Systems & Making sure that the management practices (Staffing,
Structures Development, Rewards, Measures, Communication, Organizational
Design, and Information Technology Systems are used to
complement and reinforce change.
Leading Change Having a sponsor/champion and team members who
demonstrate visible, active public commitment and support of
change.
The seven CAP processes are the core of CAP. Each represents a critical contribution to the
facilitation of effective change and the development of acceptance over resistance. CAP
tools merely support effective facilitation practices while building acceptance and
commitment to the change. It’s not about the tools! It’s all about the involvement of people
in the change process through effective dialog and conversations. Ask the best questions
and listen to the diverse responses.

CAP Toolkit
February 2010
CAP Tools and Six Sigma?
We are often asked how CAP relates to the Six Sigma process. The best answer is
“completely related”. The Six Sigma processes and tools support the development of
effective solutions, the CAP processes and tools build acceptance and commitment to the
new solutions from Define through Measure, Analyze, Improve, and Control. Involvement of
the people expected to support the solution from the beginning through launch builds
powerful support and “ownership” for the change.
The following illustration provides examples of when and how CAP may be integrated
throughout the DMAIC process. PLEASE do not limit yourself to these examples.
Leading Setting Up For Creating a Shaping a Mobilizing Making Changing Systems &
Change Success Shared Vision Commitment Change Structures
Need Last
Monitoring
Progress
Define
*Team Set-up *Threat vs *Customer *Key
*Team Opportunity Focus Constituents
Charter Matrix *Alignment Map
* *GRPI Bull’s Eye *Attitude
Chart Charting
*Responsibility
Grid
Measure * Communication Plan
*3 D’s *CAP Profile * System & Structure
Assessments
Analyze *Calendar * Measures &
Audit * Stakeholder *Force Field Rewards
*Self Analysis Analysis
Assessment *Resistance
Analysis
Improve
*Backwards *Influence
Imaging Strategy
*More
of/Less of
*Elevator
Speech
Control
* Making
Change Last
Checklist

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CAP Tool Descriptions

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CAP Tools Directory
Setting Up For Success Making Change Last

Team Set Up 13-14 Force Field Analysis 63
GRPI Checklist 15 Making Change Last Assessment 64-67
Expanded GRPI Assessment 16
Team Charter Checklist 17 Monitoring Progress
In/Out of the Frame 18-19 Behavior Change Analysis 69
15 words Flip Chart 20-21 Monitoring Progress Assessment 70
Screen Significance 22 CAP Profile 71-72
COPIS Process 23
ARMI Worksheet 23-25 Changing Systems & Structures
Systems & Structures:
Creating A Shared Need Profile Assessment 74-75
Threat vs. Opportunity Matrix 26-29 Systems & Structures:
3 D’s Matrix 30-31 Assessment & Action Planning 76-77
Communication Assessment 78-79
Shaping a vision Staffing & Development Competency 80
Backwards Imaging 33-34 Assessment
More of / Less of Chart 35 Measures & Rewards 81
Elevator Speech 36-38 Integrating Rewards & Measures 82-84
Bull’s Eye Chart 39-40 Rewards & Measures Assessment 85
Customer Focus Alignment 41 Rewards Assessment 86-87
Measures Assessment 88-89
Mobilizing Commitment
Key Constituents Map 43-44 Leading Change
Attitude Charting 45-46 Personal Contract 91-92
Stakeholder Analysis 47-48 Communication Matrix 93-94
Sources of Resistance 49-50 Communication Plan-Telling 95
Influence Strategy 51-52 Communication Plan-Listening 96
Personal Transitions 53-57 Calendar Test 97
Responsibility Grid 58-59 Leadership Self Assessment 98-101
Stakeholder & TPC Analysis 60-61

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February 2010
Setting Up For Success

CAP Toolkit
February 2010
Team Set-up
Description
Team Setup responds to 8 key questions that help teams get setup and prepared to function
effectively.
Questions
Introductions Who are the team members or participants, and how do

they fit into the team or project?
Expectations What does each participant or member expect to achieve
or acquire?
Objectives What are the planned outcomes and priorities?
Agenda What steps or process will be followed to achieve our

objectives?
Ground Rules What behavioral norms will we enforce to ensure our
success?
Roles Who is going to do what? (Especially critical functional

responsibilities?)
Parking Lot How will we deal with ideas or topics that may be
interesting, but not currently relevant?
Icebreaker/Team Building How will we focus or recharge our energy and get the
group engaged and working together?

CAP Toolkit
February 2010
Team Set-up (continued)
Purpose
Team Setup facilitates discussions that engage a team for success bring focus to key
requirements and create an open atmosphere for facilitated CAP discussions.
Process
Step Description
Discuss each step as needed to involve team members and build shared
commitment.
1 Introductions: Ask each person to introduce themselves and share something
unique about themselves to open up the atmosphere. You can include in the
next step in the introduction, “Expectations”.
Expectations: Capture individual expectations on a flipchart (with or without
2 names) to revisit at the end of the session, verifying if expectations have been
met.
Objectives: Share meeting or session objectives with team members or
3
participants to clarify the meeting purpose and priorities.
Agenda: Share the agenda for each module or step and check for group
4
commitment.
Ground Rules: Identify behaviors that will enhance or inhibit the effective
5 progress of the team. Build team agreement and commitment before capturing
on a flipchart.
Roles: Identify and assign key functional roles including Scribe, timekeeper,
6 reporter and process manager (facilitator). And, determine if there are any
unique roles needed to support this team’s success.
Parking Lot: Post and explain this space for ideas that may be interesting, but
7
not relevant.
Icebreaker/Team Building: Insert icebreakers and teambuilding activities as
8
appropriate to build or recharge energy throughout the session.

CAP Toolkit
February 2010
GRPI Checklist
Description
The G.R.P.I. Check List is based on a simple model for team formation. It challenges the team
to consider four critical and interrelated aspects of teamwork: Goals, Roles, Processes, and
Interpersonal relationships. It is invaluable in helping a group become a Team as well as
being used throughout a Team’s lifecycle to monitor their progress.
GRPI Checklist Low 1 2 3 4 5 High

Goals
How clear and in agreement are we on the
mission and goals of our team/projects?
Roles
How well do we understand, agree on, and
fulfill the roles and responsibilities for our team?
Processes
To what degree do we understand and agree
on the way in which we’ll approach our project
AND our team? (Procedures & approaches for
getting our project work done? For running our
team?)
Interpersonal
Are the relationships on our team working well
so far? How is our level of openness, trust, and
acceptance?
Purpose
An excellent organizing tool for newly-formed teams or for teams that have been underway
for a while, but who have never taken time to look at their teamwork.
Process
Step Description
Distribute copies of the check list to all team members prior to a team meeting to discuss
1 these questions; invite team members to add to the details on each of the four dimensions
of the check list.
2 Meet as a group to discuss and resolve issues related to the check list.
3 Share certain aspects with Champion/Functional Leader if appropriate.
OPTION: When there is considerable disagreement or tension within the team
environment, team members can choose to complete the questionnaire individually and
4
turn it in to a neutral party (the Coach) who will collect the data and give it back to the
team in an aggregate fashion (thus protecting the anonymity of individual team members).

CAP Toolkit
February 2010
Expanded GRPI Assessment
Useful when a more detailed look at team elements is required. How would you rate the
degree to which your team presently has CLARITY, AGREEMENT, and EFFECTIVENESS on the
following GRPI-related elements?
0 1 2 3 4 5 6 7 8 9 10
Purpose and Outcomes

We understand and agree on our project mission and
the desired outcome (vision).
Customer and Needs
We know who the project stakeholders are, what they
require, and why this project is really needed.
G Goals and Deliverables
We have identified specific, measureable and prioritized
project goals and deliverables linked to our business
goals.
Project Scope Definition
We understand/agree on what is in/out of our project
scope and tasks. The project scope is "set".
Roles and Responsibilities
We have defined & agreed on our roles, responsibilities,
R required skills & resources for the project team.
Authority and Autonomy

Our team is clear on the degree of
authority/empowerment we have to meet our project
mission.
Critical Success Factors
We know & are focusing on the key factors needed to
P meet the project goals and mission.
Plans & Activities
We have an effective game plan to follow that includes
the right tasks; clearly defined/assigned.
Monitoring & Measures
We have an effective monitoring process & specific
metrics linked to progress & goals.
Schedule/Milestones
We have defined our project schedule and know what
the key phases & milestones are.
Team “Operating Agreement”
We have shared expectations, agreed & followed
I guidelines for how our team works together.
Interpersonal/Team
We have the necessary relationships, trust, openness,
participation & behaviors for a healthy & productive
team.

CAP Toolkit
February 2010
Team Charter Checklist
Description
The Team Charter checklist verifies team alignment and commitment to the charter of the
Change initiative.
Key Result Boundaries: Roles & Guiding Operating

Areas: Responsibilities: Principles : Agreements:
What results are Who should we Reporting What team How will we make
essential? involve/consult relationship to behaviors are decisions; resolve
with? Team Sponsor? essential to conflicts?
creating
effective team
environment?
What are the What outside Team Members What are acceptabl
milestones and approvals are Roles & Unacceptable
measures? needed? Responsibilities? levels of involvemen
What isn’t in our Team Leader How often and
scope of work Responsibilities? how long will we me
(though others as a team?
might think it is)?
Can we act Time Keeper,
independently? Record Keeper,
Facilitator, etc.
during meetings?
Purpose
A process-check to ensure the team is aligned with one another and their agreed charter.
Process
Step Description
Use the questions to check with the team on the fundamental areas around
1 Expectations, Scope, Outcomes, Timelines/Milestones, Roles/Responsibilities,
Communication Rhythms
This list is not exhaustive and should be modified as appropriate for the project and
2
team.

CAP Toolkit
February 2010
In/Out of the Frame
Description
In/Out of the Frame is a visual tool based on the analogy of a picture frame. It challenges the
team to identify those aspects of the project (the type and extent of end results or
deliverables, the people impacted, timing, product lines impacted, sites involved, etc.) which
are “in the frame” (meaning clearly within the scope of work), “out of the frame,” or “half-in-
half-out” (meaning this is either up for debate), or some aspects are in the scope of work but
only in a partial way.)
Purpose
Used to create a visual picture of the elements in “scope” (frame) and out-of-scope for the
project.

CAP Toolkit
February 2010
In/Out of the Frame (continued)
Process
Step Description
Gather all storyboard materials and find a wall space large enough to
1
accommodate the completed chart.
Draw a large square "picture frame" on a flip chart (or use tape on a wall) and use
this metaphor to help the team identify what falls inside the picture of their project
2
and what falls out. This may be in terms of type and extent of end results, people
impacted, time frame, product lines, sites, etc.
Help the team get organized to complete the chart. A hint here: encourage team
members to use the location of cards they place on the chart to indicate how
strongly they feel about a particular aspect of the project (a card placed in the
3
middle of the frame signifies a strong sense that this aspect is clearly within the
scope of work, while one placed near the border refers to an aspect that a person is
a bit suspicious about).
Discuss with Champion/Functional Leader and other key stakeholders and resolve
4
differences.
Tips & Best Practices

• Things to consider when executing this tool:
o Which people?
o Extent of impact?
o Timing?
o Product Lines?
o Functions?
o Sites?
o Other?

CAP Toolkit
February 2010
15 – Word Statement
Description
The 15 Word Statement is an alignment tool that facilitates the sharing and comparing of
individual and team perceptions and definitions. It is also a great “leveler” as it enables each
individual to share their personal perspectives and ideas equally in the group setting.
Circled
Needs to be clarified
Underlined
Common words/phrases
Purpose
Used for testing for alignment and developing a Project Definition Statement with shared
meaning.

CAP Toolkit
February 2010
15 – Word Statement (continued)
Process
Step Description
Instruct each team member to draft a brief (15-word) statement on a piece of
paper stating their perception of a key question. The key question might be: “What
1 is the basic definition of our project?” or “What is the work we will be doing together”
or “Our project is about….” Or “What is your vision for our project?” or some other
question that surfaces diverse team member perceptions and ideas.
Remind them to print clearly and BIG, so others will be able to easily read their
words. It may be useful to give team members a few words to build upon (such as
2
“This project’s major mission is to.....”) where they add 15 words to complete the
sentence.
Post individual charts along a wall and ask the team to move around and read all of
the charts; then ask them to use a red marker to highlight/underline key words or
3
phrases that they feel best capture the important aspects of the project; they can
do this as a team or as individuals, depending on the size of the group.
Also ask team members to identify “fuzzy” or vague words or statements so the
4 author can discuss or clarify their intended meaning. ("What does it look like?" or
"How will we know it when we have it?“)

• In addition to completing clear statements or phrases, some members may find it
easier to write 15 key words or a set of bullets consisting of about 15 words.
• There is nothing magical about the use of “15” words. The number 15 is only used to
encourage concise thinking and sharing of thoughts. Some people may not be able to
use all 15 and others may go a few words over. IT’S O.K.!
• Encourage open discussion and inquiry to explore and clarify the unusual or
seemingly out-of-the-box ideas.

CAP Toolkit
February 2010
Screen Significance
Description
How is the project goal in-line with or linked to customer and business priorities?
Screen Significance tests the linkage and alignment between customer CTQ’s and the
business drivers at the project definition stage.
Customer CTQs and Business Drivers
Purpose
Screen Significance helps to establish linkages between customer CTQ’s and business
imperatives (e.g. Six Sigma), thus ensuring alignment of business priorities and subsequently
resources. When “what matters” for the customer aligns with “what matters” for the
business the project is far more likely to be achieved successfully.
Process
Step Description
Brainstorm the following questions:
1 “What are our customers’ top priorities, goals, metrics?”
“What are the top business priorities, goals, metrics?” (List the top company priorities, goals etc.)
2 Affinitize customer CTQs and business drivers.
Identify and discuss linkages and alignments between customer CTQ’s and business
3 priorities/initiatives. Why would we do this project and is there a link towards the business results /
goals? Does this fit the GE initiatives / strategy?
Develop a plan to review throughout the project life-cycle (timed check points:
4
sponsor at start, project reviews in meetings etc)

CAP Toolkit
February 2010
COPIS Process
Description
COPIS is a process-oriented tool that asks the team to consider the Customer (the “C” in
COPIS) as the critical focus as the customer has a variety of expectations, wants, and
requirements. "O" pertains to the key Outputs, "I" relates to the Inputs in the form of data,
knowledge, resources, etc. which are provided by the Suppliers "S". Similar to Process
Mapping, COPIS challenges the team to consider all elements of the project “system” while
setting clear boundaries of where the project starts and stops in terms of overall scope of
work.
Customers Outputs Process Steps Inputs Suppliers
Purpose
Used to develop consensus on the boundaries and identifying customer, outputs, process
steps, inputs, and suppliers.
Process
Step Description
Use a storyboarding technique starting with seven "header cards" on the wall:
1 Customer, Outputs, Process Steps, Inputs, Supplier. Place Start & Stop below
Process Steps. These bound the process.
Help them identify the specific process they are focusing on in their project. This will
2 focus them on the system they must consider, and who the eventual stakeholders
(suppliers, customers) are to be mobilized, communicated with, etc.
Discuss the completed chart/map with Champion/Functional Leader and other key stakeholders
3
and resolve differences.
OPTION: You can save a bit of time by explaining the COPIS process at the end of
4 one team meeting and then asking each person to think about Customer, Outputs, Process Steps,
Inputs, and Supplier before the actual meeting to build the map takes place.

CAP Toolkit
February 2010
ARMI Worksheet
Description
The A.R.M.I. Worksheet helps the team to assess the influence of key stakeholders on the
progress of the project, and to plan how they will keep those stakeholders appropriately
informed. The chart below could also say Startup/Planning – Implementation - Evaluation vs
DMAIC.
Project Phase
Key Stakeholders Startup/Planning Implementation Evaluation
Purpose
This tool supports the team at project start-up to:
- identify the role of key stakeholders and their authorities to make decisions and
influence progress,
- allocate resources, team member involvement and people who need to be informed
in each of the stages of the project.
The tool may also be used at each of the elements of CAP to verify if the right stakeholders
are committed, involved and informed on progress and what actions need to be planned
within their role to make the project a success.

CAP Toolkit
February 2010
ARMI Worksheet (continued)
Definition explanation:
This stakeholder provides:
A - Approval of specific team decisions outside their broader charter/authorities, i.e.,
sponsor, business leader.
R - Resource to the team, one whose expertise, skills, “clout” may be needed on an adhoc
basis.
M- Membership to team, with the authorities and boundaries of the charter.
I - Interested party, one who will need to be kept informed on direction, findings, if later
support or influence is anticipated.
Process
Step Description
1 Brainstorm the key stakeholders.

2 Identify at each of the project stages their role by using the A, R, M, I definitions.
Check-in on required actions and commitment needed during the project stages
3
from specific key stakeholders.

CAP Toolkit
February 2010
Creating a Shared Need

CAP Toolkit
February 2010
Threat vs. Opportunity Matrix
Description
Why change? Why do we need to do this change? Successful change organizations learn to
frame the need for change as more than a short-term threat. They work to find ways to
frame the need as a threat and opportunity over both the short and long term. By doing so,
they begin to get the attention of key stakeholders in a fashion that ensures their
involvement beyond what can be gained from a short-term sense of urgency.
The key with motivation is a balance of Threats and Opportunities that get people moving
and point them in the right direction.

CAP Toolkit
February 2010
Threat vs. Opportunity Matrix (continued)
Threat - If we don't change…

Threats are reasons for change that focus on letting go of the current state. Threats tend to
make the current state no-longer as attractive or even bearable as it once was.
Threats tend to deliver the message: “Get moving!”
Opportunity - if we do change…
Opportunities are reasons for change that focus on attracting people toward a specific new
or future state. Opportunities tend to be future focused, and “growth” oriented.
Opportunities deliver the message: “Come over here, or come this way!”
Threat - if we do change…
Sometimes there's a need for a third column - Threat if we DO change. This is the devil’s
advocate box. It allows the team to ask if there is any sort of political problem, difficult
pushback, to anticipate.
Short Term
Short-term motivators will take effect relatively soon or quickly. The definition of short-term
can be very subjective and specific to the project or situation. Short-Term motivators tend to
communicate a sense of urgency or “We need to act NOW!”.
Long Term
Long-term motivators will take effect “later” or sometime in the future. They may build up
over time. They tend to provide a sustainable power of motivation.
Purpose
Used to frame the need for change as a combination of threat and opportunity over the
short and long term.

CAP Toolkit
February 2010
Threat vs. Opportunity Matrix (continued)
Process
Step Description
Help the team to brainstorm responses to the basic question “Why Change?” as it
relates to the current project. Gather the responses on small cards or Post-It notes,
one item or idea per card or note. Randomly post these thoughts on a blank wall or
1 chart.
Why do we need to implement this change?
Why can’t we continue with the way things are or have been?
What about this change makes it the most effective new solution?
After brainstorming, present the concept of Threat & Opportunity as two major
2 categories of motivation for change. Help the team to rearrange or sort their
reasons into these two categories, Threat? Or Opportunity?
If appropriate for the project, help the team to operationally define Short-Term and
3 Long-Term as it relates to the project, and then help them to organize the threats
and opportunities into the Short and Long Term quadrants.
Individuals then write a 3-4 sentence statement of the need for change using
4
language that speaks to as many of the four quadrants as possible.
Team members read their statements and the team debates and discusses each to
create a statement that encompasses the best of each individual effort. This
5
statement is then modified to appeal to key constituent groups (manufacturing,
marketing, engineering, etc.).
OPTION: Sometimes there's a need for a third column - Threat if we DO change. This is the
6 devil’s advocate box. It allows the team to ask if there is any sort of political problem,
difficult pushback, to anticipate.
OPTION: Though most CAP teams find this discussion fairly straightforward, some
struggle with the degree of specificity required to effectively frame the need for
change along both dimensions. Therefore, it may be useful to begin this discussion
7 and then table it for additional work once the vision has been articulated and the
key stakeholders have been identified. It is not unusual to find a CAP team finally
ready to use this tool after they have worked on the vision and begun to do a
stakeholder analysis.

CAP Toolkit
February 2010
3 D’s Matrix
Description
How do we communicate or prove this need for change to various audiences?
Some people are influenced by data and information, some need to see an example, and
some just need to be told “Do It!”. The audiences we face contain members of each of these
groups of listeners and we need to influence all of them. The Three D's Matrix (typically
coupled with the Threat & Opportunity Matrix) produces a powerful statement of the need
for change and targets its message to the diverse audiences we face. With the Three D’s. the
need for the change initiative is proven by one or more of the "three
D's" (Demand, Data/Diagnosis, and Demonstration).
"Data/Diagnosis" refers to the degree to which internal and/or external sources of data
frame the need for change (such as benchmarking or competitive data).
"Demonstration" refers to the role that Best Practice sites or pilot projects can play in
creating the need for change.
"Demand" refers to the degree to which senior management or others can simply
demand that change occur (such as releasing held inventory or announcing a radical
realignment of the organization).

CAP Toolkit
February 2010
3 D’s Matrix (continued)
Purpose
The Three D’s helps the CAP team to articulate the need for change in such a way that
others feel motivated to "get on board." It “adds some meat to the bone" in terms of the need
for change. This tool can help teams identify and add important data and facts that can
bolster their cause.
Process
Step Description
Review the "need for change" statement developed using the Threat vs.
1 Opportunity Matrix. Look for ways to support or prove the need by the addition of
one or more of the Three D's.
As a team, use the Three D's Matrix to discuss and identify known data, facts,
2
situations. Also, brainstorm ways to gather more data and evidence.
3 Validate this data and information with stakeholders outside of the team.
OPTION: The Three D's Matrix can be used as a planning tool to help the team plan
events or actions that will strengthen the case for change. Similarly, it can be a
4
useful "test" of a team's plan to determine whether or not the roll-out plan will
strengthen the sense of the need for change.

CAP Toolkit
February 2010
Shaping a Vision

CAP Toolkit
February 2010
Backwards Imaging
Shaping a Vision
Description
How will we distinguish and communicate our new behavioral expectations?
The More of / Less of Chart helps the team communicate their vision in behavioral terms.
This chart is used to help them describe the future state by listing what they expect to hear
and see “more of” and “less of” when the project is successfully completed. As with the
"backward imaging" exercise, it is essential that the team describe the future state in specific
behavioral terms.
It’s “x” length of time from now.

What do you…
See? Hear? Feel?
Purpose
This is an excellent way to help teams wrestle with the specifics of what the future state will
be like in terms that can uncover both support and resistance. It asks people to describe the
future as they expect to see it when the project is successful, and to do so in specific
behavioral terms. Often this will be the team's first confrontation with the realities imbedded
in their more generalized statement of project scope and team mission.

CAP Toolkit
February 2010
Backwards Imaging (continued)
Shaping a Vision
Process
Step Description
Help Team members to individually imagine a time in the future when the project is
completed (or well underway). Often this is framed as the end-of-the-year party
1
when the team is celebrating its success or as an event where they are being
recognized for their achievements.
With this "picture" of the future in mind, help team members to describe what they
see, hear or feel as they observe key stakeholders and other constituents behaving
in the changed state. (For example, when employee engagement is a way of life at
2
GE, what will the manager be doing as he/she leads the efforts of the team? or
When our quality performance is effectively meeting all criteria of a world-class
quality system, what will we see people doing on a day-to-day basis?)
Collate the various views of this future state from individual team members and
3 discuss and debate similarities and differences. Once the team is in agreement,
"test" this view of the future on key stakeholders and the project Sponsor.
OPTION: Some teams may wish to actively solicit ideas from key stakeholders as a
4 way of building this picture rather than doing the work themselves and then
sending the vision out for comment and critique.

CAP Toolkit
February 2010
More of/Less of Chart
Shaping a Vision
Description
How will we distinguish and communicate our new behavioral expectations?
The More of / Less of Chart helps the team communicate their vision in behavioral terms.
This chart is used to help them describe the future state by listing what they expect to hear
and see “more of” and “less of” when the project is successfully completed. As with the
"backward imaging" exercise, it is essential that the team describe the future state in specific
behavioral terms.
More of Less of
What will we hear and see more? What will we hear and see less?
• •
• •
• •
• •
Purpose
Used to help clarify what the team expects from the new state in behavioral terms.
Process
Step Description
1 The team summarizes its generalized statement of project mission and vision.
With this broad "picture" of the future in mind, team members then list the
specific behaviors and actions that they expect to hear and see "more of" and
"less of" in the organization when the project is successfully completed. “More of”
2 and “Less of” may be related ("more resolution of customer complaints within two
hours" and "less time wasted gaining multiple approvals before resolving
customer complaints"), or the team may simply proceed to complete one side of
the chart and then move to completing the other.
The team needs to validate this view of the future by presenting this analysis to
3
others outside of the team, including the team's Sponsor.

CAP Toolkit
February 2010
Elevator Speech
Shaping a Vision
Description
How do we consistently communicate our progress to important audiences? Clearly and
simply stating the need for change and describing the future state is essential for rallying the
support and commitment of key constituents. Teams find it useful to work together to
"package" these messages into a 90-120 second "pitch" that can be given whenever a CAP
team member is confronted with the opportunity to "sell" the team's project to a key
stakeholder. The metaphor of an "elevator speech" is useful in challenging the team to be
clear, precise and simple in the creation of this "pitch."

CAP Toolkit
February 2010
Elevator Speech (continued)
Shaping a Vision
Purpose
Used to help team members communicate specific messages in a unified, consistent, and
compelling way.
Process
Step Description
The team reviews the work completed on the project scope/team mission, the need
1
for change and the vision of the project.
Individual team members make notes as they begin to form their own version of
2
the speech.
After some quiet "rehearsal time", team members pair up and deliver their pitch to
their partner. Each receives feedback on pluses and minuses and then the team
3 searches for the pitch they all like best and/or begins to put together bits and
pieces from a variety of individual pitches to create a new speech all feel
comfortable with.
OPTION: Sometimes it's more effective to ask for a volunteer to try to deliver the
4 pitch to the rest of the team, with other members playing roles of key constituents
like engineering, marketing, etc.) as they listen to and then critique the speech.

• When communicating to different audiences and individuals, the message needs to
be adjusted or adapted to the situation. Having a “scripted” message can make this
difficult, so another approach is to brainstorm key categories as they relate to
different audiences.
• It is recommended that teams revisit their elevator speech content periodically as the
project progresses, especially at critical progress check-points.

CAP Toolkit
February 2010
Elevator Speech (variation)
Shaping a Vision
A “reality check” to ensure that team members see the project the same way. To ensure that the
team members spread a unified consistent message.
“Here’s what our project is about…” (Charter, Project Definition Tools)
“Here’s why it’s important to do…” (Sharing Need Tools)
“Here’s what success will look like…” (Shaping a Vision Tools & Milestones)
“Here’s what we need from you…” (Responsibilities, Commitments, Project

Plans)
“Here’s what you can count on from me…” Commitments, Action, Follow-up
(Output may change by stakeholder – one size does not fit all)
Purpose
Used to help team members communicate specific messages in a unified, consistent, and
compelling way.
Process
Step Description
Have the team brainstorm the different audiences with whom they might need to
1 communicate about their project. (i.e. – employees, managers, Sr. leaders,
customers, suppliers, …)
Work with the team to brainstorm separately each of the following categories,
thinking of the different audiences with which they will need to communicate:
- Project purpose and scope
2 - Shared Need Messages
- Key Milestones and Critical Results Areas
- Specific opportunities for others to engage or support the project
- Commitments the team can make about ongoing communications and follow-up
Highlight key points and discuss the differences in the message that may be
3
necessary to most effectively influence and engage the different audiences
Practice impromptu deliveries briefly with team members to prepare before closing
4
the exercise.

CAP Toolkit
February 2010
Bull’s Eye Chart
Shaping a Vision
Description
How do we translate vision into action?
An inspiring vision is nothing more than a lofty statement, until it is translated into actions
and behaviors that we can see and emulate. The Bull’s Eye Chart illustrates the three levels
of a vision and draws our attention to the critical need to define specific expected behaviors.
To create…
To be…
To change…
What new thinking will

be needed?
What old thinking needs

be challenged?
What will be
people who are
aligned with the
change say and
do differently?

CAP Toolkit
February 2010
Bull’s Eye Chart (continued)
Shaping a Vision
Purpose
This tool is a visual aid used to differentiate between Visions Statements, Mindsets, and
expected Behaviors. Drilling down to specific actions and behaviors helps to make a vision
that is actionable.
Process
Step Description
Let people describe the outer circle (vision goal) on a high level (e.g. respect as
1
value).
How will people need to think to achieve that Vision Goal? (i.e. - Customer Centric,
2
Global, absolute quality).
What specific behaviors do we need to start, stop or keep on doing in the future
3
state?
The goal is to get to specific behaviors that we want to see more of / less of in the
4 future state so that we can observe, measure etc. An example can help the team
as a mindset / understanding for the brainstorm of the more of / less of tool.

CAP Toolkit
February 2010
Customer Focus Alignment
Shaping a Vision
Description
What are the three most important things we want this team and project to be known for by
our key constituents?”, or if applicable, “What do we want to be known for by our Customers?
Linking the vision to the key constituents and customers is key. The Customer Focus
Alignment Exercise helps team members to define what they think the key constituents and
recipients want from their project or process and to integrate those elements in the vision
of the future.
Purpose
The Customer Focus Alignment Exercise helps teams to link their work to customer
expectations and needs. It initiates discussion about the ultimate impact team members
want to obtain.
Process
Step Description
Distribute three cards to each team member and ask them to write down the three
1 most important things they want to be known for by their customers (allow them 5
minutes).
2 Collect the cards and have the team collate or organize them into groups.
Help the team to identify and discuss the three “most important” things from the
3
group.
Facilitate and help the team achieve consensus on which of them could be part of
4
the vision statement.

• Alignment: If 75% of the cards fall into three groups, you have alignment around
what you want to be known for by your customers.

CAP Toolkit
February 2010

CAP Toolkit
February 2010
Key Constituents Map
Description
Who in our organization will be most impacted by this change?
The Stakeholder and Impact Map seeks to identify and label key clusters of constituents who
will be impacted by the change initiative. Using a simple pie chart model, constituent groups
are identified and analyzed in terms of their relative interest/involvement in the change
effort. As the chart is being developed, questions about who will and won't be "on board"
with the change effort will naturally surface, and lead into the Attitude Chart described next.
What areas of the business will

affect or be affected by our
change?
How will each impact or be

impacted?
Which will be most affected?
Who have we forgotten or taken for

granted?
People, Processes, Resources,

Facilities, Relationships…

CAP Toolkit
February 2010
Key Constituents Map (continued)
Purpose
The Stakeholder and Impact Map can help to identify the broad base of KEY CONSTITUENTS
impacted by the change initiative. Before a more detailed analysis of individual
constituents, this process can help a team broaden its perspective regarding who the
constituents are, where they reside in the organization, and their relative size as pieces of
the overall constituent base, and decide how to spend limited resources (such as time).
This tool is a relatively low-risk activity which can set the stage for more pointed
discussions regarding the critical process of building a constituency for change.
Process
Step Description
1 List all of the groups impacted by the change initiative.

Cluster like groups where appropriate to maintain a common "elevation" of analysis
2 (sourcing, purchasing and expediting might be grouped as "purchasing" if the rest
of the groups are at a similar level).
Create the "pie chart" with attention to the magnitude of impact expected on each
group (e.g. if engineering has 150 people whose lives will be impacted by the
3
change and purchasing has only 15, the engineering "slice" would be proportionally
larger).
Debate and discuss the chart until all team members agree that it represents an
4 accurate pictorial representation of the constituent groups that must be "won over"
for the change initiative to be successful.
OPTION: It may be useful to additionally create more detailed maps at a "lower
elevation" (e.g. if purchasing is determined to be a key block of constituents, it may
5
be useful to break "purchasing" down into a more detailed pie chart representing
sourcing, purchasing, expediting, etc.).

CAP Toolkit
February 2010
Attitude Charting
Description
Is there a balanced representation of attitudes of affected people in key populations?
The Attitude Chart takes individual populations from the Key Constituents map and explores
the "attitudes toward the change initiative" within each sub-population. Using a “bell-curve”
chart, each population from the Key Constituents Map is described as some mix of four
groups: Innovators, Early Adopters, Late Adopters, and Resistors. Is there a "normal"
population mix of 15% Innovators, 35% Early Adopters, 35% Late Adopters, and 15%
Resistors? Or, is the population skewed in some fashion (for example, a larger block of
Resistors and Late Adopters due to failures in the past)?
Late
Early Adopters
Adopters
% of population
15% 35% 35% 15%
Innovators Resistors

CAP Toolkit
February 2010
Attitude Charting (continued)
Purpose
This tool focuses analysis and directs discussion on the nature of the support and resistance
to the change initiative. It shifts the discussion to an analysis of the range of support or
resistance within each group of key constituents.
Process
Step Description
Select one of the groups impacted by the change initiative from the Key
1
Constituents Map.
Have each team member draw a "population chart" indicating how they perceive
the group members' attitudes toward the change effort. Discuss what each
category within the population means (i.e. - Innovators = those who will readily
endorse this change initiative and work on behalf of the team; Early adopters =
2
while not "first in line" this population will quickly follow the lead of others and
actively support the change initiative; Late adopters = while not necessarily hostile
or overtly resistant, this population will lag behind in terms of actively supporting
the change initiative; Resistors = will actively and openly resist the change initiative).
Share individual charts and work to reach consensus on what the population
actually looks like. If significant differences of opinion exist within the team, it may
3
be useful to seek another perspective, perhaps even from some members of the
population under consideration.
At a minimum, the team should check their perceptions and assumptions about the
4 population with others outside the team before accepting this chart as the "right"
view of the population.
OPTION: use this population charting process to "peg" the attitudes of specific
individuals within a population. If the team chooses to use the tool in this fashion,
5 the discussion should include a debate about where each individual "needs to be"
for the change effort to be successful (e.g. A "late adopter" may only need to be
helped to not become a "resistor").

• This tool can help a team "warm up" to the value of a debate about the nature of
resistance. Once begun, this analysis can quickly lead to more pointed discussions of
how to leverage the value of both the "supporters" and the "resistors."

CAP Toolkit
February 2010
Stakeholder Analysis
Description
Who are the stakeholders?
Where do they currently stand on the issues associated with this change initiative?
Where do we need them to be in terms of their level of support?
A "critical mass" of key stakeholders is essential for launching and then accelerating the
change effort. The Stakeholder Analysis helps to identify, assess, and plan for the
engagement of key stakeholders needed to develop and launch this change. Some
stakeholders can be influenced to a higher level of support and some may only need to be
"neutral" for the change to have a chance.
X = Where they are now

O = Where they need to be
= The gap we need to close

CAP Toolkit
February 2010
Stakeholder Analysis (continued)
Purpose
This tool helps to develop a detailed sense of who the key stakeholders are, how they
currently feel about the change initiative, and the level of support they need to exhibit for the
change initiative to have a good chance for success.
Process
Step Description
Brainstorm the key stakeholders to be charted. Remember that a key stakeholder is
anyone who controls critical resources, who can block the change initiative by
1 direct or indirect means, who must approve certain aspects of the change initiative,
who shapes the thinking of other critical constituents, or who “owns” a key work
process impacted by the change initiative.
Prioritize or rank the stakeholders based on their influence (potential or actual) on
2
the success of the project.
Proceed to discuss where each stakeholder is currently perceived with regard to
the change initiative. Examine both objective evidence of where the individual is at
3 (e.g.: “at the last staff meeting Bill clearly stated his unwillingness to assign a
member of his group to the project”) as well as subjective opinion (e.g.: “Betty is
likely to be strongly supportive because of her unit’s objectives in this area).
Document both the perceived support level and the observations that support that
4
perception.
5 Discuss and agree on what level of support level is needed from each stakeholder.
Develop plans to sustain the needed support and influence changes in support
6 levels where change is needed as indicated by team perceptions. (see Influence
Strategy)

CAP Toolkit
February 2010
Sources of Resistance (TPC Analysis)
Description
What is behind the resistance we see? What is motivating the resistance?
The TPC Resistance Analysis builds off the key constituents map and the key stakeholder
analysis. This tool helps the team to more clearly understand the nature of the resistance
that they will face and begin to develop a strategy to eliminate or lessen it.

CAP Toolkit
February 2010
Sources of Resistance (TPC Analysis) (continued)
Source of Resistance Definition of Sources of Resistance

People fear or lack skills & resources to change.
Technical Habit, fear of the unknown, prior investment/sunk costs.
People fear the loss of loss of Power, Influence,
Resources and Decision.
Political Making Authority. Power struggles, turf, relationships,

who gets to talk to whom…
People resist because it is different from “how we do
things around here”.
Cultural Old cultural mindsets, the good old days, blinders, afraid
to let go….
Purpose
Used to help a team discover how to frame the need for change more broadly and perhaps
break some habits about change only as it applies to a short-term threat.
Process
Step Description
1 Select a group from the “Stakeholder and Impact Map” or the “Stakeholder Analysis” tool.
Brainstorm the reasons why this population or individual is resisting the change and then
2
“classify” each as T, P, or C. Agree on the nature of resistance.
Determine the level of resistance (high, medium, low) that each reason represents.
High = a high level or resistance and the team must do something to address it or the
3 success of their project will be significantly impacted (e.g.: fail).
Low = a low level of resistance and the success of the change will be only moderately
impacted if this resistance is not addressed.
For the “High” ratings, the team should develop a strategy for dealing with this
4 resistance (i.e. - influencing the opinion leaders, involving key individuals,
communication meetings, one on ones, etc…) which includes a specific action plan.

CAP Toolkit
February 2010
Influence Strategy
Description
How do we build support among key stakeholders?
The Influence Strategy helps to build an effective strategy for strengthening or maintaining
the support of key stakeholders.

CAP Toolkit
February 2010
Influence Strategy (continued)
Purpose
Used to help the team assess the issues and concerns of each stakeholder.
Process
Step Description
List the key stakeholders that need to be influenced. Even if someone is already "moderately" or
1
"strongly" supportive, they may have issues and concerns that need to be addressed by the team.
Discuss each stake holder's issues and concerns and agree on a method for validating these
2
perceptions.
When understanding of the stake holder's issues and concerns has been validated, proceed with
developing an influence strategy. It may be useful to consider aspects
of the influence process which may not have been addressed before:
• What is this person's "style"? (i.e. a "numbers" person, most influenced by data
and statistics…)
3 • What "history" needs to be considered as we talk with this individual? (Have they
been "burned before" by similar initiatives?)
• Do they have issues with any team members that might make it difficult to
support the initiative?
• Is there a concession that, if we could "give" it to this person, would guarantee
their support?
4 Make assignments that will ensure appropriate and timely implementation of the influence strategy.
5 OPTION: Combine this discussion with the formulation of a communication campaign for change.

A "trap" some teams fall into is around developing the "strategy". Careful thought needs to be given
to who will have the most impact on this individual, what is the nature of the "message" we need to
deliver, and how and when should the influence process begin.
On Influence:
Influence involves respecting that you cannot change other people. People choose to change for
themselves, so the best you can do is “influence” their choice. Listen to their needs and interests and
help them to satisfy their needs through your change project.
Help them to make the project their own.
People can be influenced by coercion or force, but the results are generally only compliance, and
short-lived at that. Some changes can succeed with compliance, but major changes to culture, core
processes, and organizational structures require commitment. And, commitment comes from people
who’ve found satisfaction for their needs in the new or future state. Help them to find that
satisfaction…

CAP Toolkit
February 2010
Personal Transitions
Description
Management consultant William Bridges describes a theory on personal transition that
involves a predictable, gradual, three-phase process, by which people let go of how things
were in the past and embrace the way things are in the new situation. As such, transition
starts with an ending, and finishes with a beginning
Bridges writes, “Change and transition are not the same. Change is the event and transition
is the process that individuals and groups go through in dealing with the event. Without
going through transition, people come out of change little different than how they went in.”
Leading Transition: A New Model for Change by William Bridges and Susan Mitchell

CAP Toolkit
February 2010
Personal Transitions
Phase 1 – Letting Go: Change typically requires the need for people to let go of the old ways.
The first phase of transition is an ending, and the time when leaders need to help people to
deal with their losses. This phase can be characterized by a variety of emotions and
reactions, including anxiety, stress, confusion, anger, resistance, uncertainty, denial, fear,
sadness, disorientation, depression, excitement, anticipation, relief, elation or validation.
Phase 2 – Neutral Zone: People move through an in-between time when the old is gone but
the new isn’t fully operational. This is referred to as the “Neutral Zone.” It is often difficult
because the business may have become “disorganized” as a result of the changes going on.
This period can be characterized by absenteeism, vulnerability to rumors, continued fear,
anxiety and resistance, but you will also begin to see experimentation, inquiry and
exploration with the change, along with creativity and innovation. The “Neutral Zone” is a
dangerous and opportune place. It can be painful, but this is where the organization and
individual can be creative and renew themselves.
Phase 3 –New Beginning: Coming out of transition, people begin to evaluate the change;
individuals explore and develop an understanding of the new beginnings. People develop the
new identity, experience new energy, and discover the new sense of purpose that makes the
change begin to work. This period is often characterized by acceptance, commitment, high
focus, accomplishment, learning and relief.
Keep in mind that the amount of time it takes to leave the old behind, move through
transition and commit to the new varies for different individuals. And there will often be
overlap among the three phases; sometimes people will progress to one stage, only to fall
back later on.

CAP Toolkit
February 2010
Personal Transitions - Questions and Actions
Description
This tool allows change leaders and team members to prepare for and conduct a personal
one-on-one conversation with individuals impacted by the change.
Through this dialogue, change leaders and team members will uncover critical information
about how people are feeling about the change and what help they might need in order to
move through the personal transitions phases.
Purpose
These questions will allow you to facilitate a powerful dialogue and discovery in order to
respond to concerns and move stakeholders through their personal transitions.
Personal Questions to Facilitate Actions You Can Take

Transition Dialogue/Discovery
Phase
Letting Go How do you feel about the change? Let people know change
will happen
What elements of the change are unclear
for you? Explain what they can
expect
What excites you about the change?
Give them time
What would help you feel less concerned
about the change? Talk things over
What are you most disappointed Be empathetic

about/excited about when you think about
the future state? Train and educate
How do you think this change will impact Find ways to honor the old
you personally? way
Clearly define what’s over,
and what’s not

CAP Toolkit
February 2010
(continued)
Personal Questions to Facilitate Actions You Can Take

Transition Dialogue/Discovery
Phase
Neutral What role could you play in helping with this Focus on priorities
Zone change?
Conduct brainstorming,
What would you suggest we do differently visioning, planning sessions
to help drive this change?
Provide information
What keeps you from being excited about
this change? Model the new way
What questions do you have? Explain neutral zone as

uncomfortable time that
How do you think this change will impact can be turned to everyone’s
you personally? advantage
What are you worried about? Create temporary policies,
procedures, roles, etc.
New What do you want to ensure we continue to Set long-term goals

Beginning do (relative to this change)?
Concentrate on building a
What will keep you energized (relative to team
this change)?
Validate those responding to
What concerns did you have about the the change
change that you would describe now as
“nothing to have worried about”? Provide information
What are you most proud of (relative to Listen

your role in this change)? Be empathetic

CAP Toolkit
February 2010
(continued)
Process
Step Description
1 Determine who you will have the one-on-one dialogue with

Think about this individual and determine which set of behaviors/emotions most accurately
2 reflect this individual. Which Personal Transition phase are they in: "letting go", the "neutral
zone", or "new beginning"?
Select the questions associated with the Personal Transitions phase that you would like to
3
ask this individual in your one-on-one dialogue
Schedule at least a 1/2 hour meeting with the individual. Select a location that will allow
4
you to have this dialogue without distractions.
5 Conduct the one-on-one dialogue using your selected questions
Review the list of actions and determine what you can do to most help this individual move
6
through the phases of Personal Transition.

• Listening during the dialogue is as critical as asking the questions. Allow the
individual to do most of the talking - this is about them, not you!
• Use the dialogue to uncover how the individual is feeling and what you can do to help
move him or her through the personal transitions phases
• Don't commit to anything you can't deliver
• Follow up with this individual on any action item you committed to. Lack of follow
through will impact the level of trust they have in you as a change leader.

CAP Toolkit
February 2010
Responsibility Grid
Description
Who will do what? The Responsibility Grid helps the project team to sort out specific
responsibilities in terms of decision making. It helps the team identify areas where they need
to be “politically” sensitive to the needs and desires of various groups and individuals as they
relate to activities (execution), decisions and milestones of the project.
Names
Project BB/GB MBB Functional Champion Customer
Tasks Leader
Define
Measure
Analyze
Improve
Control
Decision:
1 = should be the only one to make this decision
2 = should have veto power over this decision
3 = should be one of those votes
4 = should be consulted for the decision is made
5 = should be told about the decision after it is made
6 = have no need to be involved in this decision
Execution:
A = has to execute
B = has to assist in execution (provide information…)
C = not involved in execution

CAP Toolkit
February 2010
Responsibility Grid (continued)
Purpose
Useful in sorting out “who will do what” with respect to the overall project plan. More
specific than the more traditional way of identifying who needs to be “in the loop” with
regard to decision making.
Process
Step Description
Team members decide how they want to focus the grid. (i.e. including key
1
stakeholders or just the team members.
The team then completes the grid. (do the first draft “in pencil” to minimize win/loss
2
conflicts)
The team creates a communication plan to inform all affected parties of the team’s
3
view of the project plan as represented in this grid.
OPTION: Some teams may use a more traditional project planning process (PERT,
Critical Path, State Program Management, etc.) for the overall project plan and use
4
this grid to address key areas of potential conflict and confusion regarding
decision-making authority.

CAP Toolkit
February 2010
Stakeholder & TPC Analysis
Description
The Stakeholder Analysis with TPC assessment ensures a thorough understanding of the
nature of resistance and the specific strategy to use to influence and gain support once you
also know the type of resistance.
Stakeholder Analysis for Change
Support Level
SA MA N MS SS Supporting
Key Stakeholders -2 -1 0 1 2 Observations TPC

CAP Toolkit
February 2010
Stakeholder & TPC Analysis (continued)
Purpose
Combining the 2 tools helps to develop a detailed sense of who the key stakeholders are,
how they currently feel about the change initiative, what the reason is for this feeling and
what needs to be done to ensure the success of the change initiative.
Process
Step Description
1 Plot where individuals are with regard to desired change (O = current).

2 Discuss observations that support why they are (perceived) to be there.
3 Determine if this reason is Technical - Political - Cultural
Plot where you need individuals to be (X = desired) – identify gaps between current
4
and desired.
Indicate how individuals are linked to each other, draw lines to indicate an
5
influence link using an arrow to indicate who influences whom.
6 Plan action steps for closing gaps.

CAP Toolkit
February 2010
Making Change Last

CAP Toolkit
February 2010
Force Field Analysis
Making Change Last
Description
The Force Field Analysis is a well-known tool applied to the analysis of what will "enable" or
"restrain" the project implementation and integration over the long haul.
+ -
Helping Hindering
Change Initiative
Purpose
Primarily used to assess forces in the internal and external environment that will make
change last or hinder change over the long term, this familiar tool can help the team develop
plans to ensure that the change initiative becomes integrated into the "fabric" of the
organization. It can be applied to the project as a whole, or to each of the other six
CAP processes (e.g. "What is enabling or restraining Creating a Shared Need on this
project?").
Process
Step Description
Team members brainstorm items for each side of the chart. Some teams have
1 found that a "storyboarding" process works best to generate a lot of ideas without
endless debate and conflict.
Next, agree on an edited collection of enablers and restrainers (while sorting out
2 those which members see quite differently; "I see _______ as an enabler and you
have it listed as a restrainer.")
Prioritize the items on each list and pick those enablers the team thinks can be
3 further strengthened and those restrainers they think must be lessened or
eliminated.
OPTION: Each of the restrainers can be further analyzed for "root cause" using a
4
Fishbone diagram technique.

CAP Toolkit
February 2010
Making Change Last Assessment
Making Change Last
Description
The Making Change Last Assessment helps teams to select actions that will make change
Last.
Questions to Ask
Early Successes Have we identified any quick wins to help build momentum?
Commitment Do the actions of the team members demonstrate long term
commitment?
Excitement Does the team show enthusiasm for the change?
Resources Are resources still available to complete the change?
Integration Have the lessons learned been passed on and adapted
throughout the rest of the organization?
Learn from Experience As the organization has changed? Has our plan reflected this?

CAP Toolkit
February 2010
Making Change Last Assessment (continued)
Making Change Last
Making Change Last Arenas
• Were they communicated to other functions and

locations?
Early Successes • Were early successes built into the project plan?
• Were they linked to larger, longer term outcomes?
• Did there continue to be visible, impactful
sponsorship?
• Was there a continuing sense of energy and
excitement? (Did the business continue to let
Commitment everybody know project was important?)
• Did sufficient funds continue to be committed?
• Did sufficient employee time continue to be
committed?
• Were appropriate deadlines honored? (or was the
project completion date advanced, or were people
diverted to other work?)
• Does the CAP sponsor maintain a high level of
personal enthusiasm?
• Does the CAP team visibly show its excitement &
enthusiasm?
Excitement
• Is their excitement genuine & dramatic?
• Is the excitement broadly communicated through
words & action?

CAP Toolkit
February 2010
Making Change Last
Making Change Last Arenas
• Are adequate resources available throughout

project?
Resources • Have new resource needs been identified in a timely
fashion?
• Do resource allocation decisions leverage CAP
processes?
• Has timing of resource allocation been linked to life
cycle of project team?
• Were the efforts of the project well integrated with
other initiatives?
Integration with other • Was there a systematic effort to communicate the
Initiatives connection of project to other initiatives?
• Was attention paid to the consequences of the
project on the organization’s “systems and
structures?”
• Did “downstream” project activities reflect and
benefit from key learning’s gained early on?
• Were project learning’s and best practices shared
throughout organization?
Learning from Experience
• Does it sound as though team members have
grown in their capacity to act as leaders of change?
(Is it likely another CAP project launched by them
would be successful?)

CAP Toolkit
February 2010
Making Change Last
Purpose
Used to help the team answer the questions on each of the components and plan the
actions they need to take.
Process
Step Description
1 Put each of the 6 headings on a flip chart page and post them around the room.
2 Divide the group into 6 teams and have each team stand by one of the charts.
Using the descriptions and questions in this section, have each team brainstorm
Best Practices for the item listed on their chart. Include specific examples from their
3
business, suggestions, actions or tools/techniques that could be used to make
change last. Real examples they have used or seen are best.
Allow 3 minutes for each team at each chart, rotating in 3 minute intervals. Teams
4 move clockwise around the room from chart to chart until each of the 6 charts are
complete.
5 Discuss with the group and report out a few key ideas per chart.
Then, back in their Project Teams, have them pick 2 of the biggest impact MCL
6 areas and plan 2-3 actions in each area that they will execute to make change last
on their project. Use the brainstormed ideas around the room as help.

CAP Toolkit
February 2010
Monitoring Progress

CAP Toolkit
February 2010
Behavior Change Analysis
Monitoring Progress
Description
The Behavior Change Analysis helps teams to track progress on Stakeholder influence. Best
used towards the middle and end of the implementation phase of the project, allowing some
time to pass for people in the organization to adopt their new behaviors.
This assessment can be done at multiple intervals.
Stakeholders Desired Behaviors Rate Progress Actions

(from Stakeholder (from More of/Less (Rate progress (e.g. review
Analysis) of) towards desired stakeholder
behaviors are analysis, TPC
apparent) * Matrix, Influence
Strategy, etc.)
*Option: write the actual behaviors you are observing at this stage of the project.
Purpose
Used to assess progress on desired actions and behaviors as outlined in “More of/Less of”
behaviors conversation.
Process
Step Description
Revisit the Stakeholder Analysis and the Influence Strategy examining the desired
1
behaviors for individual stakeholders.
2 Discuss specific observations of actual behaviors for these stakeholders.
Rate progress towards desired behaviors on scale of 1-5 (1=no change 5=desired
3
behaviors are apparent)
Define actions if progress is less than necessary.
4 What actions can we take to correct this? What other elements of CAP may be
helpful in creating more progress towards the desired behaviors & actions?

CAP Toolkit
February 2010
Monitoring Progress Assessment
Monitoring Progress
Description
The Monitoring Progress Assessment ensures tracking of the change effort.
Questions:
• Have we clearly stated our objectives in measurable terms?

• Have we translated objectives into observable behaviors?
• Have we set milestones that we all understand and agree to?
• Are expected results tied to external and internal goals?
• Have we ensured that outcomes will be evident to stakeholders?
• Are individuals and teams accountable for results?
• Do we know which measures will show progress toward the goal?
• Have we established new ways to gather data?
• Do we have accurate and timely baseline data to work with?
Purpose
Reminding everyone that the overall objective of this phase is to ensure that the results of
the change effort are tracked and shared widely on both the “Q” and the “A”.
Process
Step Description
1 Team members go through the questions.

Define actions to ensure tracking progress and sharing the results widely while
2
holding people accountable for results continue throughout the project.

CAP Toolkit
February 2010
CAP Profile
Monitoring Progress
Description
The CAP Profile helps the team to assess the organization's progress and challenges with the
use of the CAP Processes. Through debate and discussion, the team uses a graphic
representation of the "current state" to identify best practices and key challenges to the
implementation of a major change initiative.
100
How are we doing?
What’s working?
50
What’s missing?
25
0
Leading Creating a Shaping Mobilizing Making Monitoring Changing
Change Shared a Vision Commitment Change Progress Systems &
Last Structures

CAP Toolkit
February 2010
CAP Profile (continued)
Monitoring Progress
Purpose
To help the team assess current "habits and approaches" relative to how effectively they (or
the organization) focus on each of the seven CAP Processes. For many teams, this is an eye-
opening exercise which helps them chart a new course for the change initiative on which
they are working by incorporating the “A” stakeholder engagement aspect to their plan.
Some have used it as both a "gauge" of current performance as well as a planning tool to
guide the team's work. At a minimum, the exercise should provide the team with an
opportunity to conform and deal with the organization's (and their own) current habits,
beliefs and practices around the cultural and organizational aspects of change. This tool is
used most often as the “Monitoring Progress” tool that is built and used with the project
team at each meeting to gauge where they are on the “A” Acceptance part of their strategy
and what are the next actions that need to be taken. It is also the primary tool used at
milestone reviews, advisory board reviews, and key sponsor meetings to show the progress
on the “A” as rigorously as the “Q”.
Process
Step Description
Have each member of the team use a copy of the profile to reflect on their perception of "how we
tend to do things around here" relative to each of the seven CAP Processes. Each member should
individually chart the "past and / or current state” without debate or discussion. Another way to
think about this is to consider what the chart would look like for this project "if we ignore the tools
1
and concepts from the CAP model and proceed in a business-as-usual-manner.“ Higher ratings
may suggest that the organization has strength at using the process to lead change, and tends to
"focus" on this process in the course of a change initiative. Relatively low ratings may suggest that
the organization is challenged by focusing on the process, or fails to focus on it at all.
Discuss and compare individual responses. Focus on the observations behind the scores. “What’s
working and where so we can leverage these strengths?” and “What’s missing and where so we can
2
focus more energy or resources to make progress?” Build consensus on actions, not on the
perceptions!
Use this discussion to do a "gap analysis" of what is being ignored or ineffectively executed while
3
launching or implementing the change.
Chart agreements and develop a detailed plan for effectively focusing on the CAP
4
Processes that will help your change to make progress.
OPTION: It may be useful for some CAP teams to select specific examples of past change initiatives
that have failed as well as some that have been very successful, and use the profile discussion to
5
compare and contrast the two. This can lead to the identification of some internal "best practices"
around change which can be applied to the team's work on this project.

CAP Toolkit
February 2010
Changing Systems &
Structures

CAP Toolkit
February 2010
Systems & Structures: Profile Assessment
Changing Systems & Structures
Description
The Systems & Structures Profile helps teams to assess the perception of which Systems &
Structures will most impact the success of the change project.
High
Staffing (Acquiring/placing talent)
Development (Building competence/capability)
Measures (Tracking performance)
Rewards (Recognizing/rewarding desired behavior)
Communication (Using information to build and sustain momentum)
Organization Design (Organizing to support the change initiative)
IT Systems (Utilizing IT technology to enable changes to be
Medium successful & sustained)
Resource Allocation (Adjusting or planning for financial and other
resources to support the change project)
Please note that additional categories may be added as required by

your project.
Low
Organizational Design
Communications
Development
Staffing
Rewards
IT Systems
Resource Allocation
Measures

CAP Toolkit
February 2010
Systems & Structures: Profile Assessment
(continued)
Purpose
The team can discuss the level of impact each Systems and Structure will have on their
project and decide whether that impact is low, medium or high or 0-100. This will allow the
team to identify which systems and structures need attention first.
Process
Step Description
Individually:
1 a) Determine the impact of your project on each Systems & Structures area.
b) Plot the impact on the chart and identify specific examples.
As a team, discuss individual results and agree on specific Systems & Structures
2
that require attention.
3 Identify stakeholders/process owners and build an Influence strategy.
Optional: If there are only a few items the team can influence then this tool is
logically followed by a team brainstorm and agreement on the aspects (pieces) of
each System and Structure over which the Change team has: Control, Influence
and No Control and plot these on this “frame” chart.
4 For those aspects over which the team has No Control or Influence:
a) Who are the key stakeholders to involve? and
b) What strategy (actions) do we need to do to involve stakeholders?
c) Do we need to change the team, bringing in those who can control or/and
influence?

CAP Toolkit
February 2010
Systems & Structures: Assessment & Action
Planning
Description
The Systems & Structures Assessment helps teams to display those practices, in the
Systems and Structures, that help and those that will hinder them in changing the behavior
of those affected by their project and plan the necessary actions to keep those that help and
change those that will be an obstacle.
Helping/Hindering What Who By When Profile - %

complete
Staffing
Development
Measurement
Rewards Helping Hindering Actions
Communication
Organizational
Design
IT Systems
Resource
Allocation
Other

CAP Toolkit
February 2010
Systems & Structures: Assessment & Action
Planning (continued)
Purpose
Helps the team think about the current practices in the each of the elements of Systems and
Structures (Staffing, Development, Performance measurements and rewards…) that might be
reinforcing behaviors that are not consistent with their change initiative and its desired
outcomes and those that reinforce and support the desired behaviors. It provides a starting
point for an action plan to maintain those practices that “help” the project and change those
that “hinder”.
Process
Step Description
1 Review the Vision Statement and the “More of/Less of” behaviors as well as the
Resistance Analysis to understand the desired state and current obstacles.
2 Brainstorm and list the Systems/Structures that will either "Help" or "Hinder" the
change.
3 Build agreement on what aspect of each System/Structure will "help" and or "hinder
the change and list them in the appropriate column.
4 Based upon the items listed in the "Helping" and "Hindering" columns, determine if
the impact of each System/Structure is High, Medium, or Low
5 OPTIONAL Analyzing each of the restrainers to identify the “root cause” using a
Fishbone technique.
6
Develop an action plan to modify / leverage Systems & Structures as necessary.

CAP Toolkit
February 2010
Communication Assessment
Changing Systems and Structures
Description
How well would we do if nothing changes? Individual Team Member Communication
Assessment.
100
80
60
40
20
Clear Concise Consistent Complete Compelling Credible Two-Way
Purpose
Primarily used to help the team identify the right actions based on the individual
characteristics of a good communication process.

CAP Toolkit
February 2010
Communication Assessment (continued)
Process
Step Description
1 Team members review the characteristics of an effective system of communication

2 Develop a list of communications to be addressed.
3 Complete the chart individually or as a team and discuss and resolve differences.

Be sure to review each of the characteristics of an effective communication system so that
all involved are working from a common definition of each.
• Clear: easily understood by all parties
• Concise: brief and to the point
• Consistent: frequently reinforced and does not vary with group or time
• Complete: contains all the information needed to act
• Compelling: moves or motivates people to action
• Credible: viewed as trustworthy
• Two-way: a dialogue that listens and inquires as well as tells

CAP Toolkit
February 2010
Staffing & Development Competency
Assessment
Description
The Competency Assessment is a set of questions to help teams assess which individual
competencies are required for the project to be successful.
Purpose
Assesses "talent", "experience", and "expertise" necessary to get the job done. It can be used
to assess competencies within the team or those required from sources external to the
team. It can also be linked to the Stakeholder Analysis to assess the kind of support needed
from key constituents. Most useful when a fairly detailed "technical" strategy has been
developed for accomplishing the project goals. When the team knows what has to be done
to "solve" the technical aspects of the project, it can accurately assess the competencies
needed to get the job done in a timely fashion.
Process
Step Description
Review "Characteristics of an Effective Staffing & Development System" to identify options
1
for gaining the necessary competencies.
Discuss each of these questions to assess current competency needs.
• Assigning 100 points altogether, how has your business typically chosen between
staffing and development? (Acquire vs. Develop Talent/Skills)
• How did your business decide who should be on your CAP team?
2
• What competencies (technical, cultural-political, interpersonal) must your group
possess for your project to be successful?
• Which of the required competencies does your group presently lack?
• How do you plan to obtain these (staff, develop, or do without)?
3 Agree on a plan to gain the competencies required.
OPTION: Couple this discussion with use of the Project Application worksheet for
4
Staffing & Development.

It may be difficult for the teams to accept the need for additional competence, especially if
the team is seen by others to be the "right people for the job“. It is helpful to recognize that
the need for some competencies could not have been anticipated prior to the launch of the
project, and that assessing the need once the project has been thoroughly scoped is an
important step to take.

CAP Toolkit
February 2010
Measures and Rewards
Description
Measures and Rewards examines the consequences of the Current Measures & Rewards
systems in relation to the desired behaviors identified in the “More of/Less of” exercise.
Behaviors More of Current Current Consequences Required Required

Making a Measures Rewards +/- Measurements Rewards
Vision
Actionable
Purpose
The team lists the behaviors that should be reinforced or maintained in the desired state and the
Current Measures and Rewards Systems and their influence on those behaviors.
If the consequences are negative (e.g.: the desired behavior is not going to be shown) the team
should identify new measures/rewards systems that will reinforce the desired behaviors.
Process
Step Description
Team members list the behaviors that support their Vision or desired state and those that
1
do not support the Vision.
Then they identify the current measures and rewards systems in place for each of those
2
behaviors if any already in the organization.
If no Measure or Reward has been identified for the desired behaviors, the team members
3
should brainstorm possible ways to reinforce these behaviors.
The team should follow the same process with the behaviors that they listed in the
4 “less of” column and decide how to proceed to eliminate possible rewards to those
undesired behaviors

CAP Toolkit
February 2010
Integrating Rewards and Measures
Description
Integrating a behaviorally-based project vision, an effective system of measures and a
collection of rewards that truly recognize desired performance is essential to change
initiatives that have a high degree of technical and organizational complexity. This multi-
step planning/analysis model is well suited to a thorough examination of each component to
the overall system.
Making a Vision Actionable

3A 4 5A 6 7 8A
Existing Measures Which existing Which desired If you achieve your If an employee Existing Rewards
measures provide behaviors cannot be desired changes, carries out each of Financial:
1. little or no reliably measured which existing the desired
2. information about by any existing measures will emit behaviors, what is 1.
3. any of the desired measures? false signals likely to be the 2.
4. behaviors? erroneously organization's 3.
Etc. 1. indicating that reaction? Etc.
1. 2. performance is A = Reward or
2. 3. degrading? Approval Non-Financial
3. 4. B = Punishment or
4. Etc. 1. Disapproval 1.
Etc. 2. C = No Reaction 2.
3. D = Impossible to 3.
4. Predict Etc.
Etc.
(more of)
1.
3B 5B 2. 8B
How well do existing How could we Etc. How well do existing
measures test measure those (less of) rewards test against
against the desirable behaviors 1. the characteristics of
characteristics of a not now being 2. a good reward
good measurement measured? Etc. system?
system?
1.
2.
8C
How could we
reward these desired
behaviors not now
being rewarded?
Purpose
Used to link work on vision, measures and rewards are often done in an uncoordinated
fashion. This tool can form the basis for an in-depth examination of how the measures and
rewards systems relate to one another and to the desired behaviors imbedded in the project
vision. It is most effectively used to develop a detailed plan to revamp both the measures
and rewards systems.

CAP Toolkit
February 2010
Integrating Rewards and Measures (continued)
Process
Step Description
Review the work done to date on the behavioral aspects of the project vision. Take
1 care that the list of actionable/measurable behaviors is sufficiently detailed to
define what key constituents will be doing in the future state.
2 Review the characteristics of an effective system of measures and rewards.
Work through each step in this model. Chart actions for change/ improvement and
3
incorporate them into the overall team project action plan.
OPTION: use this same framework to analyze and assess the systems of staffing
4
and development.

• Can be used as a thorough, detailed analysis of the existing systems of measures and
rewards, or as a framework for a more generalized discussion of these two systems.
Doing a thorough analysis takes more time and more research.
• For a more thorough level of analysis, secure the assistance of some "experts" in the
areas of measures and rewards. Few teams know all the measures or rewards that
exist in the organization, or how these might be modified to meet the needs of the
project. If these competencies are not present within the team, effort should be made
to gain access to this knowledge.
• Remember that "making change last" is highly dependent on the degree to which the
systems of measures and rewards are integrated with the project vision.

CAP Toolkit
February 2010
Integrating Rewards and Measures (expanded)
3A 4 5A 6
Existing Measures Which existing measures Which desired behaviors If you achieve your desired
provide little or no cannot be reliably changes, which existing measures
1. information about any of measured by any existing will emit false signals erroneously
2. the desired behaviors? measures? indicating that performance is
3. degrading?
4. 1. 1.
Etc. 2. 2. 1.
3. 3. 2.
4. 4. 3.
Etc. Etc. 4.
Etc.
3B 5B
How well do existing How could we measure
measures test against those desirable behaviors
the characteristics of a not now being
good measurement measured?
system?
7 8A
If an employee carries out each of the desired behaviors, Existing Rewards Financial:
what is likely to be the organization's reaction? 1.
A = Reward or Approval 2.
B = Punishment or Disapproval 3.
C = No Reaction Etc.
D = Impossible to Predict
Non-Financial
(more of) 1.
1. 2.
2. 3.
Etc. Etc.
(less of)
1. 8B
2. How well do existing rewards test against the characteristics of
Etc. a good reward system?
1.
2.
8C
How could we reward these desired behaviors not now being
rewarded?

CAP Toolkit
February 2010
Rewards & Measures Assessment
Description
The Rewards & Measures Assessment helps the team to assess existing rewards and
measures against the behavioral changes needed for the success of the project.
Consequences
More of/Less of Existing Existing Positive Negative

Measures Rewards Immediate Immediate
Delayed Delayed
Purpose
Used to link work on vision, measures and rewards are often done in an uncoordinated
fashion. This tool can form the basis for an in-depth examination of how the measures and
rewards systems relate to one another and to the desired behaviors imbedded in the project
vision. It is most effectively used to develop a detailed plan to revamp both the measures
and rewards systems.
Process
Step Description
1 Review the “More of . . ., Less of . . .” actionable/measurable behaviors list.

Against each item on the list, identify whether there are measures or rewards that
2
are related to the particular behavior. If not, consider adding them.
Identify the consequences of each behavior, positive or negative, immediate or
3 delayed. This will help the team identify what should change in the existing rewards
and measures to encourage/discourage the desired/undesired behaviors.

• Best used to analyze rewards and measures with the assistance of some experts in
this area. Few teams know all the measures or rewards that exist in the organization
and effort should be made to gain access to this knowledge.
• Making Change Last critically depends on the integration of measures and rewards
systems with the project vision.

CAP Toolkit
February 2010
Rewards Assessment
Description
Rewards Assessment is used to assess the effectiveness of the current set of rewards related
to Making Change Last on the project, and to plan for improvements to the system of
measurement.
100
80
60
40
20
Availability Eligibility Visibility Performance Timeliness Flexibility Reversibility

Contingency
Purpose
Primarily used to help the team wrestle with the myriad of rewards that relate to the project
and identify those which may result in negative behaviors or punishment for desired
behaviors because they fail to meet the test

CAP Toolkit
February 2010
Rewards Assessment (continued)
Process
Step Description
Team members review the characteristics of an effective system of rewards (from
1
CAP materials)
2 Develop a list of rewards to be assessed.
OPTION: Use this chart as a backwards process to determine which rewards are
4 needed to develop a system of measurement that meets each of the criteria for
effectiveness.

Be sure to review each of the characteristics of an effective rewards system so that all are
working from a common definition of each.
• Availability: The extent to which a particular reward is available for distribution
within the organization.
• Eligibility: Whether classes of employees (e.g. hourly, non-exempt) are eligible to
receive a particular reward.
• Visibility: The degree to which a reward is visible to the recipient and to other
organization members.
• Performance Contingency: The extent to which the receipt of a reward, and the
size of the reward, are based on the recipient's performance.
• Timeliness: Whether a reward can be distributed soon after the decision is made
to distribute it, as opposed to being delayed by calendar dates, employee
anniversary dates, or one-over-one approvals.
• Flexibility : The extent to which a reward can be tailored to the needs of individual
employees
• Reversibility: a) Whether the reward, once given, can be reclaimed, or b) Whether
the decision to give the reward can be reversed, so that the reward need not be
given again.
Focus on the most obvious rewards first as a way to become familiar with the tool. Rate
each significant measure across each of the dimensions.

CAP Toolkit
February 2010
Measures Assessment
Description
Measures Assessment is used to assess the effectiveness of the current set of measures
related to Monitoring Progress on the project, and to plan for improvements to the system of
measurement.
100
80
Effectiveness Estimate
60
40
20
0
Completeness Timeliness Controllability Cost Interpretability Importance Time Motivational
Balance Balance
Effective Measures Process Characteristics
Purpose
Helps to analyze the myriad of measures related to the project and identify those which may
give false readings because they fail to meet the tests of an effective system of
measurement.

CAP Toolkit
February 2010
Measures Assessment
Process
Step Description
1 Team members review the characteristics of an effective system of measurement

2 Develop a list of measures to be assessed.
OPTION: Use this chart as a backwards process to determine which measures are
4 needed to develop a system of measurement that meets each of the criteria for
effectiveness.

Be sure to review each of the characteristics of an effective measurement system so that all
are working from a common definition of each.
• Completeness: adequately measures the phenomenon rather than only some aspect
of the phenomenon.
• Timeliness: can be taken soon after the need to measure, rather than being held to
an arbitrary date (e.g. a particular calendar date) or performed as an "autopsy" (e.g.
an exit interview or a returned product.)
• Visibility: can be openly tracked by those being measured.
• Controllability: can be directly influenced by those being measured.
• Cost: inexpensive, making use of data easily obtained or already being collected for
some other purpose.
• Interpretability: easy to understand, and produces data that is readily comparable to
other organizations and / or time periods.
• Importance: connected to important business objectives, rather than merely easy to
measure.
• Time Balance: reflects the desired balance between long and short term objectives.
• Motivational Balance: reflects the desired balance between competitive invigoration
and collaborative teamwork.
Focus on the most obvious measures first as a way to become familiar with the tool. Rate
each significant measure across each of the dimensions.

CAP Toolkit
February 2010
Leading Change

CAP Toolkit
February 2010
Personal Contract
Leading Change
Description
How do the leaders of the change demonstrate their engagement and commitment to the
change? The Personal Contract identifies and checks for specific “behaviors and actions”
that demonstrate change leadership and build commitment to the change.
Time
• We give our lives to that which we give our time
• Calendar test (time audit)
Focus • Planning
• Has a few key priorities and
keeps at them (avoids Passion/Energy
clutter concept) • Is known for… “Turned on”
• Makes trade-offs which to right changes
reinforce change • Seeks and supports new
• Works toward win/win as a ways to do work
way to influence • Personal involvement and
models new behaviors
• Keeps moving and trying
Communication
new ideas
• Recognizes importance and
need for ongoing, clear,
consistent communication
• Demonstrates ability to
listen and respond to key
stakeholders’ concerns
Purpose
The Personal Contract builds awareness of specific leadership actions and behaviors that
will influence the effective execution of the change, and it can serve as a basis for
agreement on individual accountability for modeling those actions and behaviors.

CAP Toolkit
February 2010
Personal Contract (continued)
Leading Change
Process
Step Description
Brainstorm specific actions and behaviors for each of the three areas of Change
Leadership attention.
• What will commitment of Time by our change leaders look like?
1 • What will commitment of Energy and Passion by our change leaders look
like?
• What will commitment of Focus and Agenda by our change leaders look like?
• What will commitment of Communication by our change leaders look like?
2 Discuss and prioritize with the team.
3 Agree on assignments of “Who will commit to and DO what?”
4 Agree on follow-up timing and processes.
OPTION: You can also use this as an exercise to assess with behavioral evidence
5
what they need from their leader/ sponsor to make the project to be successful.

CAP Toolkit
February 2010
Communication Matrix
Leading Change
Description
The Communication Planning Matrix reviews communication "channels" against the various
aspects of the CAP project plan and various CAP processes.
Announce Clarify the Begin to Begin to Changing

Channel the CAP Vision Mobilize Monitor Systems &
Project Commitment Progress Structures
Written
• Newsletter
• Bulletin Board
• V.P. Memo
• Etc.
Spoken:
One-on-many
• All employees
meeting
• Weekly staff
meeting
• Operating
managers meeting
• Etc.
Spoken:
One-on-one
Symbolic:
• Offsite conference
• Press conference
• Etc.
Purpose
Used to develop a detailed communication plan that is targeted at the CAP processes.
Helps the team identify existing communication channels and brainstorm new channels.

CAP Toolkit
February 2010
Communication Matrix (continued)
Leading Change
Process
Step Description
1 Team members review the various Communication Channels (from CAP materials).
2 Develop a list of existing, available options for each channel.
Complete the chart individually or as a team and add brainstormed new options for
3
each channel.
OPTION: Assess the effectiveness of communication efforts to date when a team
4 has launched a variety of communication initiatives and is ready to assess prior
efforts and plan to move forward into the next phase of the CAP project.

Communication is the responsibility of every team member. This chart can become a
responsibility chart by adding dates, deliverables, and responsible party.

CAP Toolkit
February 2010
Communication Plan - Telling
Leading Change
Description
The Communication Plan - Telling is a traditional communication plan, where you identify
stakeholders, and the messages that are important for each group.
Purpose
Used to develop a detailed communication plan. Helps the team identify existing
communication channels and brainstorm new channels.
Process
Step Description
1 Brainstorm with team members on above mentioned questions

2 Define actions based on outcome

CAP Toolkit
February 2010
Communication Plan - Listening
Leading Change
Description
The Communication Plan - Listening provides a way for change teams to ensure they are
listening to stakeholders.
Purpose
Used to develop a detailed plan for listening. Helps the team to ensure they are interacting
with stakeholders and hearing what they have to say about the change and related impacts.
Step Description
1 Complete the chart individually or as a team.
OPTION: Assess the effectiveness of listening efforts to date when a team has
2 launched a variety of listening initiatives and is ready to assess prior efforts and
plan to move forward into the next phase of the CAP project.

CAP Toolkit
February 2010
Calendar Test
Leading Change
Description
Are leaders and members of the project team allocating sufficient and realistic time and
energy to their support of this project? The Calendar Test a self-assessment to examine how
much time and resources have been allocated to the change initiative.
1. Identify 4-5 things you feel very strongly

about (at home or work).
2. Check your calendar for the last 2-3 months

to see what % of your time is spent on those
things you say are important to you.
Purpose
The Calendar Test can stimulate thinking and team discussion about the degree of attention
& commitment change leaders are modeling.
Process
Step Description
Each team member brainstorms individually the 4-5 key actions and commitments
1
for which they are responsible in regard to the project.
Each team member checks their calendar for the last 2-3 months and determines
2
the percentage of time they have spent on those items.
Each member considers:
3
“How have I done so far?” and “What do I need to do to improve?”
The team discusses the outcomes and related issues. (over commitments,
4 conflicting priorities, lack of resources, …) Help the team to establish and support
realistic expectations.
The team defines actions and adjustments to ensure effective commitment to the
5
change project.

CAP Toolkit
February 2010
Leadership Self Assessment
Leading Change
Description
This is an example of a Self-Assessment for leaders of the implementation of 6 Sigma. Note
how the questions identify specific actions or behaviors that demonstrate each of the 7 CAP
processes. Individual leaders would assess themselves and then develop their personal
action plan for improving their effectiveness in leading the change.
Leads Change Almost Always Usually Sometimes Seldom Almost Never
Seeks and supports 5 4 3 2 1

process innovations that
improve Quality.
Finds opportunities in 6 5 4 3 2 1
Sigma rather than excuses
for avoiding it.
Vigorously questions the 5 4 3 2 1
status quo.
Demonstrates personal 5 4 3 2 1
competencies that support
6 Sigma Quality.
Total Score
Divide by # of questions (4):
Average Score
Creates a Shared Almost Always Usually Sometimes Seldom Almost Never

Need
Generates data that shows 5 4 3 2 1

a need for 6 Sigma.
Communicates an urgency 5 4 3 2 1
about the need for
quantum improvement in
quality.
Demonstrates through 5 4 3 2 1
personal behavior the
importance of 6 Sigma.
Helps others understand 5 4 3 2 1
that continual process and
product improvements are
required to satisfy
customers.
Total Score
Average Score

CAP Toolkit
February 2010
Leadership Self Assessment (continued)
Leading Change
Shapes a Vision Almost Always Usually Sometimes Seldom Almost Never
Clarifies roles and 5 4 3 2 1

responsibilities for
accomplishing 6 Sigma
quality targets.
Communicates the 5 4 3 2 1
organization’s vision
clearly and candidly.
Translates the 5 4 3 2 1
organization’s mission into
relevant, challenging
objectives that employers
understand.
Sets fair, challenging, 5 4 3 2 1
timely goals around 6
Sigma for yourself and
others.
Total Score
Average Score
Mobilizes Almost Always Usually Sometimes Seldom Almost Never

Commitment
Creates a bold sense of 5 4 3 2 1

purpose that energizes
others.
Creates enthusiastic 5 4 3 2 1
support for this change
initiative.
Builds networks of people 5 4 3 2 1
who are committed to 6
Sigma quality.
Is able to counteract 5 4 3 2 1
resistance to 6 Sigma in
your organization’s unit.
Total Score
Average Score

CAP Toolkit
February 2010
Leading Change
Monitors Progress Almost Always Usually Sometimes Seldom Almost Never
Shares information widely 5 4 3 2 1

concerning progress
toward quality objectives.
Establishes targets, 5 4 3 2 1
benchmarks, and
milestones
Holds people accountable 5 4 3 2 1
for progress toward 6
Sigma objectives.
Total Score
Average Score
Making Change Last Almost Always Usually Sometimes Seldom Almost Never
Acts in ways that 5 4 3 2 1

demonstrate continuing
commitment to the 6
Sigma process.
Assigns responsibility for 5 4 3 2 1
making it last.
Commits personal time, 5 4 3 2 1
energy, and focus to
making the 6 Sigma
change initiative last.
Total Score
Average Score

CAP Toolkit
February 2010
Leading Change
Changes Systems & Almost Always Usually Sometimes Seldom Almost Never
Structures
Alters training and 5 4 3 2 1

development programs
when necessary to support
and be consistent with the
6 Sigma change process.
Alters the reward and 5 4 3 2 1
recognition systems when
necessary to support and
be consistent with the
desired change.
Uses existing 5 4 3 2 1
communication channels
and establishes new
channels when necessary
to support 6 Sigma.
Provides the resources 5 4 3 2 1
necessary to support 6
Sigma change
implementation.
Total Score
Average Score
Category Average Score
Leads Change
Creates a Shared Need
Shapes a Vision
Mobilizes Commitment
Monitoring Progress
Making Change Last

CAP Toolkit
February 2010

Change Acceleration Process

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Change Acceleration Process

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CAP Toolkit 2015

The information contained in this

Part 2: CAP Tool Descriptions

Part 3: Work-Out Tool Descriptions

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Uses of the CAP Model

The model provides a methodical way to overcome resistance by identifying sources of

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Shaping a Vision The desired outcome of change is clear, legitimate, widely

Mobilizing Commitment There is a strong commitment from constituents to invest in the

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Setting Up For Success Making Change Last

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Introductions Who are the team members or participants, and how do

Agenda What steps or process will be followed to achieve our

Roles Who is going to do what? (Especially critical functional

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GRPI Checklist Low 1 2 3 4 5 High

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Purpose and Outcomes

Authority and Autonomy

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Key Result Boundaries: Roles & Guiding Operating

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Tips & Best Practices

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Tips & Best Practices

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Customer CTQs and Business Drivers

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Customers Outputs Process Steps Inputs Suppliers

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Key Stakeholders Startup/Planning Implementation Evaluation

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1 Brainstorm the key stakeholders.

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Threat - If we don't change…

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It’s “x” length of time from now.

See? Hear? Feel?

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Tips & Best Practices

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“Here’s what our project is about…” (Charter, Project Definition Tools)