NT Workbook

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Navigating Transitions
Understanding and Leading Others Through
Change
August 2012
Overview
Navigating Transitions
Change is all around us, pushing us, making demands, and offering opportunities.
We ignore making the transitions associated with change – or choose not to respond
to it at our peril. Effective leadership of transitions means anticipating the impacts of
trends and changing conditions, being flexible in the face of continual transitions in
the organization’s culture, adapting to changing needs of customers, new mandates
and new business requirements, and teaching yourself and others to build skills for
dealing with constant change. Learning to successfully lead change and transitions
is a fundamental competency for managers and is integral to successfully
implementing the DHS-OHA Leadership Model.
This workshop is designed to provide you with tools and techniques so that you can
plan for change and lead transitions effectively within your “sphere of influence” in
your particular environment. We address issues that affect your ability and the
ability of the people around you to be successful in developing a resilient and
adaptive attitude and culture. The goal is to help you move through transitions in
healthy and productive ways and to help those around you who are struggling with
change to follow your example.
To do this requires an understanding the human side of change and some of the
basic requirements to helping others successfully navigate transitions. That is the
focus of this workshop.
Please take a moment to review the workshop objectives on the next page.
2
Objectives of This Workshop
By the end of this workshop, you will be able to:

Examine your individual style and make more effective use of your personal
style for navigating change in order to influence and lead others through
transitions.

Apply the 5 Elements for Effective Organizational Change and the 5 Steps
for Leading Change to enterprise-level and business unit-level change
initiatives that you are involved in.

Illustrate key components of being a more strength based effective leader of
change.

Describe the dynamics of individual transitions and how employees will
need to be coached during the different stages of change.

Demonstrate coaching and other methods in order to move people through
fear and resistance.

Identify communication techniques to more effectively message change to
keep others informed and involved, galvanize support, and deal with the
many challenges of change.
Change is the law of life.
And those who look only to
the past or present are
certain to miss the future.
—
John F. Kennedy
3
SECTION ONE
Your Experience with Change
Section One Objectives
By the end of this section participants will be able to:
 Identify their personal change preference style and the potential
pitfalls of this style.
 List strategies to mitigate these pitfalls.
The key to your universe is that you can choose.
— Carl Frederick
4
Understanding Your Response to
and Capacity for Change
Change occurs all around us and in many facets of our life – personal, family,
professional, community, and world. Understanding our personal experiences of
change enhances our ability to understand our current reality. To realize our full
capacity for change, we must build awareness of how our attitudes and responses
to change affect and influence our relationships
and larger group dynamics.
“Any change, even a
For example, leaders are called upon to help their
change for the better,
organizations navigate the social implications of
is always
significant technology changes, embrace the
accompanied by
complexities and opportunities of greater diversity,
drawbacks and
move from a reliance on control to an emphasis
discomforts.”
on collaboration, and to augment technical skills
with greater emotional and relationship ones.
—Arnold Bennett
Your own personal experience of change
profoundly affects how you approach and lead
change. We begin with a look at your
experiences, choices, and subsequent
assumptions about change. This is a useful way
to uncover your strengths and blind spots in managing yourself and leading others.
For example, if you tend to think about change at a rational and structural level,
you may be blindsided by your own unacknowledged emotions. You may also fail
to address the human needs of the people who are impacted by a change.

Increasing your self-awareness will help you identify areas for your own
growth and help you lead change with greater compassion, conviction, and
courage. It also helps you understand how others react to change and how
you can help them transition.

It is easy to fall into the trap of thinking that you don’t have time to attend to
all of the aspects of change. However, failing to do so will ultimately plague
your organization in the form of low morale, low trust, and low performance.
The self-reflection exercise on the next page will guide you in evaluating how you
have responded to change and what you know about the dynamics of change.
5
Self-Reflection:
What Have You Learned about Change?
Instructions: Take a few minutes to reflect on your past experience with change.
Use the trigger questions below to guide your thought process. Recall a time in your
life when you experienced a significant change that you managed to work through.
1)
a) Think about the event, for example what happened?
b) What challenges did it present?
c) Recall how you felt about the change experience.
2) How did you and others around you respond to the change?
3) How did you move through the change?
4) Among the people involved, what did you experience as…
a) Supportive
b) Unsupported
6
Observations of Change
Table Group Discussion: Discuss with your peer group what you have learned about
how people deal with change. Use the space below to record the reactions, responses,
and behaviors that are typically associated with change. Also record what you have
learned about yourself and others from changes you have experienced and witnessed
in your own life.
What are the typical reactions, responses,
and behaviors associated with change?
What have you learned about yourself and
others through your experience with
change?
Large Group Debrief: What do changes teach us? Table teams write on poster sheet 1
or 2 primary things they have learned about change.
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Understanding Your Preferred Response to
Change
Change is external, situational – the new site, the new boss, the new team, the new
role, the new policy, the new process the new job responsibilities, the new computer
system.
The Change Style Indicator is a way of understanding your initial response to change
based upon your personality. While we all demonstrate characteristics of each of the
three styles, each of us has a tendency toward a particular style when we are first
encountering a change. Organizations need all three styles to effectively implement
change. As a leader, the benefit of understanding your style is to avoid some of the
pitfalls that come along with each particular change style and to understand how you
can flex and adapt your style in different situations and based upon the styles of those
around you.
Conservers:

Accept structure

Prefer that change is incremental
Pragmatics:

Explore structure

Prefer that change is functional
Originators:

Challenge structure

Prefer that change is expansive
Source: Change Style Indicator: Discovery Learning, 2000
8
Contributions of the 3 Styles During Change
Conservers
Pragmatics
Originators
Get things done on schedule
Willing to address the needs
of the organization as they
arise
Understand complex problems
Work well within
organizational structure
Get things done in spite of
rules, not because of them
Bring strong design and
conceptual skills
Attend to detail and factual
information
Negotiate and encourage
cooperation and compromise
to get problems solved
Push the organization to
understand the system as a
whole
Demonstrate strong followthrough skills
Take a realistic and practical
approach
Support and encourage risktaking behavior
Encourage and adhere to
routine
Draw people together around
a common purpose
Provide future-oriented
insights and vision for the
organization
Respect rules and authority
Organize ideas into action
plans
Serve as catalysts for change
Handle day-to-day operations
efficiently
Have short-term and long-term
perspective
Initiate new ideas, projects,
and activities
Source: Change Style Indicator: Discovery Learning, 2000
9
Potential Pitfalls of the 3 Styles During Change
Conservers
Pragmatic
Originators
May be rigid in thought and
action
May be indecisive and
undirected
May not adjust vision to facts,
logic, or practicalities of
situation
May discourage innovation by
promoting existing rules and
policies
May not promote ideas and
properties enough
May be lost in theory
May not see beyond the
present details to understand
the broader strategic context
May try to please too many
people at the same time
May overextend themselves –
moving on to new projects
without completing them
May delay completion of task
because of perfectionism
May appear to be
noncommittal
May not adapt well to policies
and procedures
May delay action too long by
overly reflecting on situation
May be easily influenced
May appear unyielding and
discourage others from
challenging them
May appear unyielding and set
in ways
May negotiate compromise
that is too middle of the road
May ignore the impact of ideas
on system and people
May over focus on small
details
May wait for others to decide
before taking action
May overlook relevant details
Source: Change Style Indicator: Discovery Learning, 2000
10
Increasing Your Change Style Flexibility
The following are suggestions for increasing your flexibility in your change style and
avoiding pitfalls:
 Consult with a person you believe to have a different style than
yours before proceeding.
 Make efforts to understand the perspectives of styles other than
yours.
 Imagine putting on a hat of another style.
 Step back and be aware of your initial reaction in a situation,
especially when you are aware of responding emotionally.
True stability results when
presumed order and
presumed disorder are
balanced. A truly stable
system expects the
unexpected, is prepared to be
disrupted, and waits to be
transformed.
Tom Robbins
List a few ways you can more effectively manage your response to change.
1.
2.
3.
SECTION ONE – What Are Your “Take Aways?”
______________________________________________________________________________
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Ask, What were your takeaways? And if
anyone wants to share, good. If not, move
on.
11
SECTION TWO
The Dynamics of Organizational Transitions
Section Two Objectives
By the end of this section participants will be able to:
 Identify gaps in the transition process and the reaction from staff
associated with those gaps.
 List communication strategies where there are gaps.
Tell me and I’ll forget
Show me and I’ll remember
Involve and I’ll understand
Gandhi
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Organizational Transition
Moving Across the Spectrum of Change
The implication for you as a leader is that to make organizational change, you must
align your efforts across all levels related to the change you want to make. And you
must involve others in doing the same.
When managing change, people need to consider how they will shift their identities
(individually and collectively) to accommodate the new knowledge, attitudes, and
behaviors. Because people tend to act in ways that allow them to remain consistent with
how they see themselves, as a leader you may need to move them to a new starting
place if you want them to change their behavior.
Another consideration is the degree to which people in organizations take a proactive or
a reactive stance in relation to the changes in which they are engaged. Changes made
at the individual or team level are easier but often have less impact, while those made
at the organizational or enterprise level often have greater impacts but require more
effort to accomplish. Some examples of changes that have affected OHA and DHS
over the years include:

Transition from DHS to DHS and OHA

MMIS, OrKids

Applying LEAN changes in local offices

Loss of positions; hiring freezes; loss of
funding for programs
Discussion: Select from the list above to discuss – what went well? What were the
challenges?
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The 5 Elements of Organizational Change
Now that we have looked at some changes occurring in DHS and OHA, let’s look at
some effective change strategies.
There are five concrete components required for any effective change strategy: Vision,
Motivation, Skills, Resources, and a Plan.
If these components are not aligned to serve the ultimate goal—or if one or more of the
components is missing—the change effort is likely to fail. When a component is
insufficient, the results (seen on the right) are diminished. For example, anxiety and
fear often result if people lack the skills to adapt to what is being asked of them. To
advance from competent change to transformative change generally requires working at
a higher level. For now, let’s consider each component and what occurs when there is a
gap.
Question: How can you use this model as an effective tool for “leading from any chair?”
Adapted from the American Productivity and Quality Center
14
5 Step Model for Leading Transitions
Assess
Plan
Prepare
− Organizational
culture
− Awareness and
understanding
− Vision
− Structure
− Process
− Messaging
− Communication
materials and
channels
− Training
− Leadership
competency
− Staff readiness
− Operational
capacity
− Communication
− Training
− Business
transitions
− Metrics
curriculum and
materials
− Readiness
activities
− Metrics reports
Execute
−
−
−
−
Communicate
Conduct training
Coach staff
Execute business
transitions
− Measure and
report progress
− Gather feedback
− Make course
Sustain
− Monitor
implementation
− Provide
encouragement
and support
− Reward and
recognize
− Continue
execution
corrections
Discussion: Give an example of a change inside of DHS or OHA that followed the 5 Steps
17
Assessing and planning for change helps increase how quickly and readily employees
embrace and participate in change and adapt to the new expectations and environment.
Many organizations and leaders don’t take the time
to assess readiness, but it is a critical step. A
readiness assessment will help you understand:

Strengths of the organization’s formal and informal
culture that will facilitate and support change.

Residual effects of past changes and/or aspects of
the organizational culture, structure, or capacity
that may serve as barriers to implementing
change.

Any gaps in the skills and competencies needed to
effectively implement the changes that will part of modernization.

Level of employee awareness, understanding, and acceptance of the vision and
reasons for the change.

Employee requirements (i.e. training, tools, resources, communications, etc.) in order to
actively and effectively participate in change.
1.
Assess
15
Assessing the readiness of your business and individual employees does not have to be
difficult or time consuming. Several easy-to-apply assessment tools are provided in
Appendix B of this handbook.
Planning for change starts with developing a clear vision or business case for the
change and what it means for your group or level of the organization. You cannot sell a
change or anything else without genuine
conviction because there are so many sources of
resistance to overcome: “We’ve never done it
before.” “We tried it before and it didn’t work.”
“Things are okay as they are, so why should we
2. Plan
change anything?”
This is especially difficult when you are pursuing
an innovation as opposed to responding to a
crisis – you’ve got to make a compelling case.
It’s not just a picture of what could be, but an
appeal to our better selves, a call to become
something more. It helps remind us that we construct the future from our own history,
desires and decisions. Once you have the vision or case for change, then you can take
on the other steps:

putting a structure and process in place for the change (project team, business
transition team, etc.),

plan what you need to communicate to people and when,

identify what skills people will need and your plan for how to train and prepare,
and

plan the business transition (how routine work will still get done, potential
disruptions and how to minimize them, a feedback process that allow for quick
identification, reporting, and resolution of problems).
A template for Business Transition Plan is included in Appendix D and a template for a
Communication Plan is included in Appendix F.
3.Prepare
Preparing involves getting the materials,
communications, training, and metrics to
measure progress of your project ready for
rollout. These could range from preparation
of a training and coaching curriculum for
your managers and supervisors to a
communications plan that identifies the key
messages about change and a strategy for
delivering these messages to different
teams, divisions, work units, and individuals
in your organization. Preparing also include
16
readiness activities that involve people early in the process, such as asking employees
from the areas affected by the change to serve as experts in determining the steps
needed for the change and then testing those steps.
For example, if you are implementing a new schedule for a call center with the goal of
reducing call backlogs and wait times, rather than deciding the new schedule at the
management level, present your staff with the data and ask them to suggest options to
address the situation.
Another important readiness activity is providing staff with all the details about the
implementation process. Make sure they understand the steps from beginning to end
and what the plan is for dealing with normal work during the change and if certain work
processes will need to stop during the change and for how long. This is also the time to
communicate whether services to customers will be disrupted and carrying out the
appropriate communications strategy to inform them. Some examples of the key
messages you will want to include in your communications strategy can be found in
Appendix F.
Executing is about implementing the business
changes and your change management strategy.
This is the stage where you communicate clearly
what the new expectations are, then allow people
to learn and develop new skills and practices.
Provide time to practice the new behaviors that
are required of them. Offer access to experts who
can assist people as they try out new practices.
4.
Execute
Remember, people do not like to be told what to
do. Encourage people to experiment as they
implement new practices. Typically there is not just one way to do things – allow
flexibility to try different methods wherever possible and then decide if there is one best
practice that should be applied consistently.
Coaching becomes very important at this stage. Provide staff with reinforcement for
practicing and learning new behaviors and recognize them when they get it right. Some
best practices for coaching can be found in Appendix A. During execution, it is
important to solicit feedback about how the process is going and track progress – Are
things going as planned? If not, what do we need to do about it? – and then providing
feedback to project sponsors and executive leadership.
5. Sustain
Sustaining the change is focused on
making sure whatever your project or
business change was designed to
achieve is actually occurring. Measuring
what is actually being done and
achieved against your project metrics
and outcomes is critical at this stage.
17
To sustain change, you must also recognize that people’s behavior does not change
quickly or consistently. Culture is composed of norms of behavior and shared values.
Every individual that joins an organization is indoctrinated into its culture, generally
without even realizing it. Its inertia is maintained by the collective group of employees
over years and years. Remember:

Changes – whether consistent or inconsistent with the old culture – are difficult to
ingrain.

New practices must grow deep roots in order to remain firmly planted in the
culture.
18
Your Role in Leading Organizational Change
Your role as a manager, supervisor or lead worker is, at a minimum, to enlist others to
participate in or, at the least, not to hinder the change effort. To be a leader of change
is to assume a much larger role – to inspire, persevere, reduce ambiguity, and provide
the opportunity for people to engage, participate, and prepare. In successful change
efforts, an organization’s leaders:

Provide the vision and a sense of urgency and are out front communicating it.

Support the change by answering the concerns raised by individuals as to how a
change will impact them personally and professionally.

Involve others in designing and implementing the change process.

Provide individuals with the tools, training, and time to learn the changes and
incorporate them into a job, business unit, or division.

Provide feedback throughout the transition process to the leaders sponsoring the
change so that appropriate interventions and course corrections can be made
along the way to the desired goal.
Program and District Managers
Line Managers, Supervisors, and Leads
Lead and champion the change
Champion the change – get engaged
Live, lead, and model the behaviors and attitudes
that are supportive of change
Live, lead, and model the behaviors and attitudes that
are supportive of change
Help direct-report managers understand what’s
coming
Prepare and coach staff
Communicate the vision frequently and proactively
Communicate the vision frequently and proactively
Be the conduit for determining what managers and
staff need to be successful
Listen to and report on what staff are saying – be the
voice of the field/end user
Anticipate problems and make it safe for line
managers, supervisors and leads to escalate issues
Understand current business processes and LEAN
techniques for improving processes
Provide data and input to executives so they
understand the impacts and implications of
decisions
Escalate issues so barriers, challenges, and concerns
can be addressed quickly
Encourage feedback about the changes to
determine what is working/not working
Correct misinformation and misperceptions
19
Your Role in Leading Change and the
DHS-OHA Leadership Model
The overlapping circles in the Leadership Model represent different dimensions of
awareness and skills development essential to effective leadership. The center of the
overlapping circles contains the three core leadership competencies that are central to
all leadership dimensions. Surrounding the leadership model are the two agencies’
core values – the foundation of all individual and group actions.
Discussion: How does being a leader of change and transition fit within this model?
Where does it show up? How does it connect?
20
SECTION TWO – What Are Your “Take Aways?”
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SECTION THREE
21
The Dynamics of Individual Transitions
Section Three Objectives
By the end of this section participants will be able to:
 Identify where individuals are in the transition process by using
behavioral cues.
Change is a journey
Not an event.
22
The Dynamics of Individual Change
Understanding Responses to Change
Some people embrace change and transition, while others struggle with it. Many people
simply withhold their commitment until they have a firm sense of the benefits of a
recommended or mandated change and the likelihood that the change can work in the
organization. Others have a strong emotional reaction.
Even those emotions, of which we are only sometimes vaguely conscious, have a
powerful effect on our moods and the way we present ourselves to the world. Attitude is
an important internal element in the change process. So, since emotion strongly
influences attitude, our ability to work productively with change depends significantly on
our ability to recognize and understand (at least a little bit) the emotions behind our
opinions about a person, an event, a decision, an idea—anything.
What do YOU fear most about change?
1.
5.
2.
6.
3.
7.
4.
8.
People aren’t usually stressed out because there’s too much change, they are:

Uneasy with the level of ambiguity in their environment.

Unsure about their competency to do the things they are being asked to do.
Change is external, situational – the new site, the new boss, the new team, the new
role, the new policy, the new process the new job responsibilities, the new computer
system.
Transition is internal – the psychological process people go through to let go of
something and come to terms with the new situation driven by the external environment.
Reaction to change is personal. If it’s a change you want, great! If it is one you don’t
want, you may feel anger, frustration and resistance. It’s the same with other people.
Each person has a view of the change, which will affect how he or she reacts to it.
23
To effectively lead change, you must
help people navigate transitions.
3-Phase States of Change
How things are done today?
How to move from current to
future?
How things will be done
tomorrow?
24
Working Through the Sates of Change
C
u
r
r
e
n
t
Awareness of the need for change -- sets
the foundation for helping individuals make
personal choices about the change
T
r
a
n
s
i
t
i
o
n
s
Knowledge on how to change – by
conveying the skills, training, tools,
processes, roles and responsibilities that
are required to change.
F
u
t
u
r
e
Reinforcement to sustain the change –
through recognition and reward for the
hard work and energy the person displays
in make the change.
Likely Behaviors
Desire to participate in and support the
change – is built by answering “what’s in it
for me?”
Ability to implement required skills and
behaviors – is achieved by providing the
necessary coaching and time to master
new skills and processes.
25
SECTION THREE – What Are Your “Take Aways?”
______________________________________________________________________________
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26
SECTION FOUR
Leading Others Through Transitions
Section Four Objectives
By the end of this section participants will be able to:
 Identify coaching techniques that can be used to assist people transition
through the change process.
“Not everything that is faced can be changed,
but nothing can be changed until it is faced.”
27
a
Coaching People Through Transitions
Although organizations may need to change, and although management as a group
may demand and support change, the actual effort for change comes from individuals.
When individuals decide to change—whether it is out of desire or obligation—
that’s when change begins. It is important to make a distinction here: the three
stages of transition are a universal psychological process that most people go through
during change, whether they are consciously aware of it or not. Then, there are five
building blocks that are required for an individual decision to make a change. They can
also be defined as barrier points if a person does not “pass through” them.
Awareness of the need for change – sets the foundation for helping individuals make
personal choices about the change
Desire to participate in and support the change – is created by answering “what’s in it for me?”
Knowledge on how to change – is built by conveying the skills, training, tools, processes,
roles and responsibilities that are required to change.
Ability to implement required skills and behaviors – is achieved by providing the necessary
coaching and time to master new skills and processes.
Reinforcement to sustain the change – is accomplished through recognition and reward for
the hard work and energy the person displays in making the change.
28
What is Coaching?
The purpose of coaching is to help employees achieve their potential and to improve
business and professional performance in specific areas. Coaching is a collaborative
process. A person has to be willing to be coached in order for it to be effective.
Coaching is not performance feedback connected to deficient performance. It is not
part of discipline or corrective action. A coach is not a therapist, a teacher, or an
advisor. An effective coach is a facilitator who helps people:

see problems differently.

navigate change and transitions.

realize when and how their actions are inconsistent with their goals.

articulate a specific goal and how they’re going to accomplish it.

gauge their progress and effectiveness.

be accountable for achieving their goals.

clarify performance expectations and provide feedback and direction.

identify improvement opportunities and provide support for continuous
improvement efforts.

remove barriers and constraints that inhibit individuals or teams from fulfilling
their responsibilities and meeting assigned objectives.

understand and celebrate their own work accomplishments.
Coaching is also different than mentoring. Mentoring is done by a person who is not
the employee’s immediate supervisor with the purpose of helping that person integrate
into a new environment or culture or begin the process of developing toward a
promotion or higher level of responsibility.
To help people navigate transitions and move through the five building blocks of
deciding to change will require you to take on the role of a coach. The role of coach
involves supporting employees through the process of change they experience when
projects and initiatives impact their day-to-day work and helping them address the
barrier points that are inhibiting successful change.
Coaching Individuals Through Organizational Change
Coaching takes on a heightened level of importance during an organizational change.
To be an effective change management coach, it is important that you understand when
coaching should occur. As a manager, you might schedule coaching sessions about
particular topics. Such a topic might be: what are the new expectations for performing c
processes and procedures that are part of modernization or health care transformation?
29
More often however, coaching takes place informally through interactions with direct
reports and peers in person, by phone, or through e-mail. (SEE APPENDIX E for
additional coaching resources.)
Motivating People
You cannot direct people to be happy about changes. However, there are several
motivators you can use to help employees shift from operating out of fear, anxiety or
apprehension to a mode of hopefulness, acceptance or even excitement about the
changes. As a group, identify some motivating factors you know are effective:



NEED MORE ROOM SETHA
It is important to keep in mind that these are examples of motivators, and that what motivates
one person may not work for another
Working Through Resistance
Resistance is normal, and should be expected. In all systems, there is a natural force to
maintain the “status quo” – what is comfortable for us now, today. So resistance isn’t
actually resistance to change, it is resistance to the loss of the status quo or comfort
zone. When you see resistance, it means that people are sensing that loss, and that
means change has begun. Reasons for employee resistance include:

Belief that the change is unnecessary or wrong.

Belief that the change will make things worse or will not be successful.

Belief that prior initiatives were not properly implemented.

Lack of awareness or understanding of the reasons for the change.

Fear that the change will result in personal loss -- a job, being demoted, or losing
work they enjoy.

Belief that they had no input into the decision.

Lack of faith in those driving the change.

Resent the way the change is being introduced.

Uncertainty about whether they’ll have the necessary skills to be successful.

People like (or are at least comfortably used to) the current state.

Fear that they will be asked to do more with less, or without commensurate pay.
30
Key Lesson: Do not react to resistance with surprise. Expect it and plan for it. Be
patient with people as they work their way through the transitions. Also, assess
resistance not only from an individual’s natural aversion to or dislike of change, but also
based upon how much other change is going on, what may be going on their personal
life or how they view the organization and its culture.
Personal Context for Change
Organizational Context for Change
Motivating Factors
Motivating Factors
Personal and family situation – health,
financial position, stability, mobility,
relationships
History with change – past change
success or failure, the likelihood this
change will really happen
Professional career history and plans –
successes, failures, promotions,
aspirations, years left before retirement,
second career potential
Values and culture – how the organization
treats employees and how employees
treat on another
Degree to which this change will affect
them personally
Degree of complexity and amount of
impact on employees
Identifying Resistance
Best practice research in change management identifies several best practices for
identifying where and why resistance is occurring.
 Engage in two-way
communications with employees
impacted by the change. This can
include Q&A sessions, interviews,
brainstorming sessions, group
meetings, and one-on-one encounters
to identify sensitivities and resistance.
 Interview managers responsible for
past changes. Collect data to assist
in determining groups and locations
where resistance has been historically
evident.
(You can use the Assessment Tools in
Appendix B and C to help uncover
resistance and the reasons for it)
 Gauge reactions, watch body
language, and pay attention to
casual remarks. Resistance may
exist in a subtle but consequential
way.

Set deliverables and monitor their
progress. Missed deadlines, missed
meetings, absenteeism, illness, lack
of cooperation, indifference, and poor
performance may be symptoms of
resistance to change.
31
Techniques for Dealing with Resistance
When someone in your sphere of influence is resisting change, sometimes all it takes is
a “crucial conversation” that allows all of the issues to be aired and creates space for
exploration of opportunities and possibilities. The following are elements to include in a
conversation that is focused on removing fear and resistance.
Listen and understand Objections
 Sometimes people want to have an opportunity to voice their concerns
 Listening can uncover misconceptions about the change
Focus on the “what” and let go of the “how”
 Increases employee involvement and ownership if they have an opportunity to
share in developing the solution
Remove barriers
 Identify the barriers and determine how they can be addressed
Provide simple, clear choices and consequences
 Be clear about the choices employees have about the change
 Create hope
Show the benefits in a real and tangible way
 Seeing is believing
 Share your passion for change; create excitement and enthusiasm.
Make a personal appeal
 This can work with those with whom you already have open, trusting
relationships
Convert the strongest dissenters
 They can become your strongest advocates
32
The Importance of Communication
How do you lead people through a transition process and the changes that are driving
it? A key to avoiding a failed change initiative is to invest significantly in communication
to everyone who is affected by the change. But what exactly do you need to
communicate?

The purpose of the change: what is driving the need for change.

A clear vision for the change: what will be different for us and the people we
serve; how our processes and way of doing business will be different.

A broad overview of how the organization will transition to the future state:
what will change and when the changes will occur.

The role that each person will play in making the changes: how employees’
day-to-day activities will be affected.

An awareness of different communication/interaction styles, some of which
are culturally-based.

The tools and support that will be provided along the way.

How people can get more information about the change.

Where to go with questions and how to offer feedback.

The specific timeline for the change and the immediate next steps.
Best Methods for Communicating Change
Research conducted on large scale projects shows that the top-level executive
managers are the preferred senders when the message pertains to the business need
for change and the alignment of the change with the organization’s overall direction.
Employee’s supervisors are typically the preferred senders of messages that pertain to
the individual and work unit level impacts of the change.
Recognize that people generally begin to understand the implications of change only
when they are partway through the transition. Be sure to talk about their reactions
throughout the process and let them talk about how they feel, rather than trying to
defend or sell the change.
33
Communication Tips
The frequency and methods to communicate change in an organization or business unit
varies, but the rule of thumb during change is: share messages more frequently than
your think you need to. The key point is to get the right information to the right people at
the right time. You can use a variety of methods to do this:
 email
 group meetings (cascading messages delivered throughout the organization)
 one-on-one communications
 agency publications
 intranet
 high level and executive presentations delivered agency-wide
 training and workshops
 project team presentations
 phone conferences
 posters and banners
 memos and letters
 update bulletins
 special social events
 flyers
 video conferencing, videotapes
 demonstrations
Tip
The two most effective communication methods for communicating change to
employees are:

One-to-one or face-to-face discussions that are honest, straight-forward, and
offer details of the change on a personal level. Employees prefer personal
interaction over reading information.

Small group meetings to share information, brainstorm ideas and discuss new
or changed work processes.
34
Here are some effective communication practices:

Be as sensitive to the diversity of cultural, learning, and change style preferences as
you can. Use multiple channels of communication: intranet, one-on-one
discussions, group meetings, formal presentations, forums, informal lunch
discussions, newsletters, etc. Seek out help from your cultural diversity director or
coordinator to understand the best ways of reaching out to and communicating with
a multicultural focus.

Develop two-way channels to improve feedback and involvement. Don’t assume
people understand – give them opportunities to question and process the change
and the new expectations that accompany it. Provide opportunities, wherever
possible, for employees to have input into the changes as they are designed and
developed.

Increase one-on-one communication with those directly impacted by the change.
Some people will need more coaching and personal attention to understand the
change and what it will mean for them.

Provide regular updates so that people can keep their transition process moving
along parallel with that of the overall change effort or project.
35
SECTION FOUR – What Are Your “Take Aways?”
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
36
SECTION FIVE
Your Action Plan
Section Five Objectives
By the end of this section participants will:
 Write a personal plan to work on skills to utilize what was presented
today
 Write a plan to assist my branch through the change process
In the final analysis, change sticks when it
becomes the way we do things around here.
- John Kotter
37
38
Implementing What I Learned Today
Instructions: Develop a 90-day plan of specific actions you will carry out to apply what
you have learned in this workshop. Use the ideas in Appendix A to supplement your
own thinking.
Issue or Area of
Concern
Goal
Action Steps
Start Date
1. Where am I and
what do I need to do
to prepare myself to
be a better leader of
change?
2. What concept or
topic from today’s
workshop do I want
to focus on applying
in the next 90 days?
3. What content or
topics do I want to
share and explore
with my staff?
Monthly Plan
Review
Date
Status
Review 1
Review 2
Review 3
39
Planning for Transition in My Office/Business Unit
Instructions: Develop a 90-day plan of specific actions you will carry out in your
office/business unit to begin preparing for a business transition that you are currently
working on or that you know is on the horizon. Use what you have learned in this
workshop to determine what is most helpful in laying the foundation for change, based
upon the unique culture and conditions within your business unit.
Issue or Area of
Concern
Goal
Action Steps
Start Date
1. Where am I and
what do I need to do
to prepare myself to
lead the transition?
2. Where are my
staff and what do
we need to do to
start preparing them
for the transition?
3. What are the
priority issues in my
area of
responsibility and
what do I need to
plan for?
Monthly Plan
Review
Date
Status
Review 1
Review 2
Review 3
40
Appendix A
Outside of Class Lessons and Peer Learning
Opportunities
41
The following are suggested lessons and exercises you can do to expand and enhance
the application of your learning from this workshop. While most of these exercises can
be done independently as self study, the learning opportunity is enhanced if you work
through the lessons with a peer or participate in peer group learning after completing a
lesson or exercise on your own. The training teams in DHS and OHA will be sponsoring
peer learning opportunities for these exercises and for the content included in the
workshop.
Lesson 1
Use the organizational readiness assessment tools in Appendix B to assess an
upcoming change or business transition in your area of responsibility. Then answer the
following questions:

What did you discover about your office/business unit that will support change?

What did you discover about your office/business unit that will hinder change?

What are the most significant challenges your office/business unit faces in preparing
for and implementing the proposed change(s)?

What are your initial thoughts about what you need to do to address these
challenges and barriers?
Lesson 2
Identify an employee who is resistant to an upcoming change or business transition that
you are planning for. Have that person fill out the self assessment in Appendix C, then
score the assessment using the accompanying worksheets. Use the worksheet on
page 60 along with the workshop material on pages 34-36 to prepare for and conduct a
“crucial conversation.” Then use the Coaching Plan template (also in Appendix C) to
prepare a strategy for helping the employee embrace and participate in the change.
Lesson 3
Use the Transition Plan Template in Appendix D to begin planning for an upcoming
business transition. After you make your first attempt at filling out the plan, answer the
following questions:

What gaps did you identify as you prepared the plan?

What will need to do to address the gaps?

What support and resources will you need to accomplish the transition? How will
you get them?

How effectively does your plan address the 5 required elements for successful
organizational change found on page 14 of this handbook?

What will you need to do to address any of the 5 elements that are missing?
Lesson 4
42
Practice the six core coaching competencies by working through each of the following
exercises.
Core Competency 1: Empathizing
What are the visible cues that someone is expressing empathy?
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
What are the fundamental aspects of empathy that matter most in the workplace?
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
Core Competency 2: Giving and Receiving Feedback
First, identify an employee that you currently supervise or manage to whom
you want to give feedback. Use the following questions to plan your
approach.
1. What do you want to accomplish by giving this feedback?
2. What are the issues? Describe specific actions or behaviors you want to
discuss.
3. What is the impact of these behaviors or actions?
4. Did you contribute to this situation in any way? If yes, how?
5. How do you think the other person will respond to your feedback? How
will you handle their reactions?
6. What actions can you suggest to help improve the situation?
Core Competency 3: Listening
43
Work with a partner. Take turns sharing your responses to the
following questions. Listeners should practice attentive listening. You
will each have about 5 minutes to share your experience.
Describe a memorable experience from your childhood that reminds you of the
place you grew up. Where did you grow up? What was the place like?
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
Asking Questions: List three questions you might use to help coach staff
through change (one open, one closed, and one slightly closed)
1.
2.
3.
44
Core Competency 4: Confronting and Challenging
How can you flex your style to have better interaction with an employee
whose style is different than yours?
_____________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
Core Competency 5: Problem Solving
Consider for a minute the way you solve problems. What goes into your thinking? Be
prepared to share your thoughts with a peer or in a small group.
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
Core Competency 6: Empowering
Identify a previous boss that made you feel empowered. What actions did
this person demonstrate?
__________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
Lesson 5
45
Using the outline and worksheets in Appendix F, put together a simple communication
plan to support your business transition. Share the draft with your boss or a peer to get
ideas and input on the messaging, timing, and channels. After finalizing the plan with
the feedback you receive, begin executing the plan and apply the Communications
Checklist (also in Appendix F) to check your progress. Finally, check in with employees
through informal conversations or a brief survey to find out if they are receiving and
understanding the messages. Use whatever you learn to fine-tune your
communications and to support your coaching activities with individual employees.
Lesson 6
Choose one of the resources from Appendix G and identify a chapter, section, or key
concept that you can apply in your environment or sphere of influence. Prepare the
content in a presentation format, share it with your peer learning group, and facilitate a
discussion about how it can be used to further develop your skills as a leader of change
and/or the overall change management discipline in your organization.
46
Appendix B
Organizational Readiness Assessment Tools
47
Sizing the change
This high-level assessment will help you think about the change you are implementing. At the
end of this worksheet, you will complete a Sizing the change profile that will be a guide for
developing your change management strategies and actions.
Scope of change
Describe the scope of your change.
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
Which groups are most severely impacted?
___________________________________________________________
___________________________________________________________
___________________________________________________________
Which groups are least impacted?
___________________________________________________________
___________________________________________________________
___________________________________________________________
Number of impacted employees
Identify the number of impacted employees:
Front-line employees:
__________
Managers and supervisors:
__________
Executives and senior managers:
__________
Type of change
What areas of your organization will be changing:







Process
System or technology
Organization
Job roles
Staffing levels
Merger
Other: _______________
Copyright Prosci 1996-2011
Prosci and ADKAR are registered trademarks
48
Change Characteristics Profile
Mark your location on the following spectrum. If you fall on the right of the spectrum, your
project will require more change management resources and activities than if you fall on the left
of the spectrum. This assessment result will be used to customize your change management
strategy and activities. Record your profile score.
Scope of change
Workgroup
1
Department
Division
Enterprise
5
2
3
4
Number of impacted employees
Less than 10
1
2
3
4
Over 1000
5
4
Groups experiencing
the change differently
5
Variation in groups that are impacted
All groups impacted the same
1
2
3
Type of change
Single aspect,
simple change
1
2
3
4
Many aspects,
complex change
5
Degree of process change
No change
1
2
3
4
100% change
5
Degree of technology and system change
No change
1
2
3
4
100% change
5
Degree of job role changes
No change
1
3
4
100% change
5
2
Degree of organization restructuring
No change
100% change
49
1
2
3
4
Amount of change overall
Incremental change
1
2
3
4
Impact on employee compensation
No impact on pay or benefits
1
2
3
Large impact on pay or benefits
4
5
Reduction in total staffing levels
No change expected
1
2
3
4
Timeframe for change
Very short (<month) or
very long (> year)
1
5
Radical change
5
Significant change expected
5
3 month to 12 month
initiative
2
3
4
5
Sum of points for change characteristics profile (out of 60 total):
Note: A score of 35 or higher is considered a large change that will require more change management
resources and activities to be successful.
Copyright Prosci 1996-2011
Prosci and ADKAR are registered trademarks
50
Organizational Attributes
This high-level assessment will help you think about your organization. At the end of this tab,
you will complete an Organizational attributes profile that will be a guide for developing your
change management strategies and actions.
Organization change culture
Would you consider your organization change resistant or changeready? Why?
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
Employee value structure
Does the current employee value system allow change to be easily
mandated from above, or is the value system resistant to top-down
changes? Why?
___________________________________________________________
___________________________________________________________
___________________________________________________________
Identify the institutions, policies or practices that reinforce this
value structure.
___________________________________________________________
___________________________________________________________
Change capacity
Describe the current changes that are already underway. Is the
organization over saturated with change or are only a few changes
taking place?
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
List any key initiatives that overlap or interact with your change.
___________________________________________________________
___________________________________________________________
___________________________________________________________
Leadership style and power distribution
51
Does power and authority in your organization:
___ reside with a few key leaders (centralized)
___ spread among many managers (distributed)
Identify the key “power positions” in the organization
(i.e. where does the true power reside).
___________________________________________________________
___________________________________________________________
Past changes
Past changes were typically:
__ successful
___ failures
Are employees skeptical of change, perceiving initiatives as just
the next “flavor of the month”? Why?
___________________________________________________________
___________________________________________________________
What key lessons did you learn from past changes?
___________________________________________________________
___________________________________________________________
What caused past changes to succeed or fail?
___________________________________________________________
___________________________________________________________
Middle manager predisposition
List any immediate and anticipated challenges presented by middle
managers and supervisors.
___________________________________________________________
___________________________________________________________
Identify potential advocates, neutralizers, renegades or villains.
___________________________________________________________
Copyright Prosci 1996-2011
Prosci and ADKAR are registered trademarks
52
Organizational Readiness Assessment
Perceived need for change among employees and managers
Compelling business need for
change is visible – employees are
dissatisfied with the current state
1
2
Employees do not view change
as necessary – employees are
satisfied with the current state
4
5
3
Impact of past changes on employees
Employees perceive past
changes as positive
1
2
3
4
Employees perceive past
changes as negative
5
Change capacity
Very few changes
underway
1
Everything is changing
2
3
4
5
Past changes
Changes were successful
and well-managed
1
2
3
Many failed projects and changes
were poorly managed
4
5
Shared vision and direction for the organization
Widely shared and
unified vision
1
2
3
4
Many different directions
and shifting priorities
5
4
Resources and funds
are limited
5
Resources and funding availability
Adequate resources and
funds are available
1
2
3
Organization’s culture and responsiveness to change
Open and receptive to new
ideas and change
1
2
3
4
Closed and resistant
to new ideas and change
5
Organizational reinforcement
Employees are rewarded for
risk taking and embracing change
1
2
3
Employees are rewarded for
consistency and predictability
4
5
Leadership style and power distribution
Centralized
1
2
3
4
Distributed
5
Executives/senior management change competency
Business leaders demonstrate
effective sponsorship on change projects
1
2
3
Business leaders lack sponsor
skills and knowledge
4
5
53
Middle Management change competency
Managers are highly
competent at managing change
1
2
Managers lack knowledge and skills for
managing change
4
5
3
Employee change competency
Employees are highly competent
at managing change
1
2
3
Employees lack the knowledge and skills for
managing change
4
5
Sum of organizational attributes profile (out of 60 total):
Note: A score of 35 or higher indicates a change resistant organization that will require more change
management for the project to be successful.
Copyright Prosci 1996-2011
Prosci and ADKAR are registered trademarks
54
Appendix C
Individual Readiness Assessment Tools
55
Coaching Others Through Change
Instructions: Identify someone in your sphere of influence who is struggling with
change. Reflect for a few moments on what you have noticed about this person, then
work with your learning partner to answer the questions below.
1. What behaviors is the person demonstrating right now? Specifically, what is this
individual both saying and doing related to the changes that are being planned or
are underway?
2. Based on these behaviors, what do you believe may be the underlying cause of their
fear or resistance?
3. What stage do you think this person maybe be in? (ADKAR, 3 Stages of Transition
or Stages of Concern)
4. What actions would be appropriate for you to take to help this person accept and
participate in the change?
56
ADKAR Employee Self Assessment
Rank the following statements (1=strongly disagree, 5=strongly agree, NA=not applicable).
Awareness
I have a general understanding of the change.
1
2
3
4
5
NA
I understand the business reasons for the change.
1
2
3
4
5
NA
I understand the risks of not changing.
1
2
3
4
5
NA
I understand the impact on my day-to-day work activities.
1
2
3
4
5
NA
Desire
I am personally motivated to be part of the change.
1
2
3
4
5
NA
I look forward to the new, changed environment.
1
2
3
4
5
NA
5
NA
My peers support the change.
1
2
3
4
My supervisors and managers support the change.
1
2
3
4
5
NA
Executives and key business leaders support the change.
1
2
3
4
5
NA
57
Knowledge
I have the skills and knowledge to be successful during the change.
1
2
3
4
5
NA
I have the skills and knowledge to be successful after the change.
1
2
3
4
5
NA
Training and educational opportunities have been adequate to prepare me.
1
2
3
4
5
NA
Ability
I have the ability to perform the new duties required by the change.
1
2
3
4
5
NA
I can get support when I have problems and questions.
1
2
3
4
5
NA
I have practice at performing in the new environment.
1
2
3
4
5
NA
Reinforcement
The organization is committed to keeping the change in place.
1
2
3
4
5
NA
I know the consequences of not performing my new activities.
1
2
3
4
5
NA
I am rewarded and recognized for performing in the new way.
1
2
3
4
5
NA
Comments and improvement suggestions:
_____________________________________________________________
_____________________________________________________________
Copyright Prosci 1996-2011
Prosci and ADKAR are registered trademarks of Prosci Inc.
58
ADKAR Scoring Worksheet
Add and average the scores in each of the five categories and fill
them into the boxes below. (Example: 3 + 2 + 1 + 3 +3 = 12 ÷ 5
= 2.4
59
60
Note: this assessment worksheet is based on the ADKAR model. You can use this
worksheet in a face-to-face discussion with an employee or manager. It can be done as
a follow-up conversation to an employee’s self assessment or as the assessment itself.
The administration of this worksheet should be done by the employee’s direct
supervisor if possible.
1. Why do you think the change is happening? For the current change underway,
describe the business, customer, or competitor issues that you believe have created a
need for change.
2. Do you support this change? What factors affect your desire to change? Would you
consider yourself in favor of the change, neutral towards the change or opposed to the
change?
3. Do you have the training you need? Identify the skills and knowledge that you
believe are necessary to support the change. On a scale of 1 to 5, how would you rate
your current training on these skills and knowledge areas?
4. Are you having any difficulty implementing these skills and knowledge? If yes, in
what areas? Considering the required skills and knowledge, how would you rate your
ability to implement the changes?
5. Are you getting the support you need? Is their adequate reinforcement and support
for the change going forward? In what areas can we provide additional support or
reinforcement?
Once you have determined the barrier point for this individual, you can take action
specific to that area.
Copyright Prosci 1996-2011
Prosci and ADKAR are registered trademarks of Prosci Inc
61
Coaching Plan Template
1. Target of coaching:
2. Findings from self assessment and interview:
3. Root cause of change aversion/resistance:
4. ADKAR analysis:
5. Coaching intervention strategy:
a. who:
b. what:
c. when:
6. Support or actions needed to help employee:
Copyright Prosci 1996-2011
Prosci and ADKAR are registered trademarks of Prosci Inc
62
Appendix D
Sample Transition Plan
63
64
65
66
67
68
69
70
Appendix E
Coaching Tools
71
What Is Your Coaching Style?
All of us have a natural or preferred coaching style. Yet, in addition to
knowing your preferred style, you need to understand other approaches so
that you can shift to the style that best fits the situation and the employee
you are coaching.
At one end of the coaching continuum, you’ll find the Teaching coaches.
These coaches do a lot of telling because they want to share their expertise
so that employees achieve something concrete. This type of coaching is
appropriate when tasks are to be performed repeatedly and in a particular
way. This technique can be helpful to front-line employees who have to
achieve a consistent and predictable outcome in providing a service or
accomplishing a task. Also, when a star employee is assigned a new job
and/or task, you may need to be a Teaching Coach, as competency in one
area does not guarantee competency in another.
Coach does the leading.
Learner does the leading.
Teaching Coach
Telling and Selling
Showing and
Helping
Stretching and
Challenging
Learning-to-Learn Coach
Encouraging and Celebrating
The Showing and Helping coaching style is used after an employee has
learned to do the basic tasks of a job. In this situation, you continue to
provide support and guidance as the employee gains confidence.
The Stretching and Challenging coaching style takes productive, proficient
employees to a higher level of development. Coaching at this stage might
involve placing employees in out-of-classification assignments or engaging
them in special projects. This coach helps employees step out of the
comfort zone of their current job and do something different.
At the other end of the continuum are the Learning-To-Learn coaches, who
recognize the potential in employees. These coaches provide challenges and
opportunities to stretch and to learn how to learn. This coaching style is
appropriate when there are multiple paths to a good result rather than just
one designated approach. It is particularly helpful when employees are
developing as managers or working on projects that break new ground.
72
Coaching Tips and Best Practices

Determine where you are on the Coaching Continuum and practice flexing
your preferred coaching style to match the unique needs of each
employee.

Observe employees carefully and have conversations that help uncover
the issues and factors that can negatively
affect their performance.
“Come to the edge.

Develop the six core coaching competencies
in yourself. Focus on developing those
competencies that are most difficult for you.

Be familiar with the steps of preparing for
feedback and coaching sessions. Make plans
to coach each of your employees formally and
informally throughout the annual performance
cycle, so that you can help employees
improve their performance.
We might fall.
Come to the edge.
It’s too high.
Come to the edge.
And he came.
And he pushed.
And he flew.
Christopher Logue
73
Helpful Hints for the Six Core Coaching
Competencies

EMPATHIZING
The Do’s of Empathizing

Invite employees to give you feedback on a frequent basis—once a
day, once a week, etc. Use these sessions to demonstrate your ability
to listen attentively and show that you appreciate their concerns.

Count to five before you say anything critical. Keep your comments
calm and measured.

Focus on issues, rather than perceived character flaws. Say, “The
project is two weeks late,” instead of, “You are lazy.” Concentrate on
what can be done to remedy the solution.

Take time to check in with employees at all levels to find out what
they are concerned about or are experiencing. Offer assistance, as
appropriate.

Be sensitive to feelings and keep the employee’s confidences.

Be sincere and make sure that your actions match your words. Follow
through on commitments.

Maintain an open-door policy so that employees come to you for
feedback.

Ask employees how they think you are feeling as a result of their
actions rather than telling employees what you think.
The Don’ts of Empathizing

Avoid sarcastic or judgmental comments such as, “You are not cut out
for this type of work.” Stick to the facts.

Avoid the temptation to distort, exaggerate, or twist information to
your own advantage.

Avoid publicly criticizing employees. Such criticism sends two
dangerous messages: first, that other employees can expect the same
and, second, that you lack good coaching skills.
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 GIVING AND RECEIVING FEEDBACK
The Do’s of Feedback

Actively demonstrate how things can be done in alternative ways.

Follow up with employees to see how they are progressing. Build
milestones or checkpoints into the schedule of any program.

Give employees a context in which to think about a situation. Use
analogies and metaphors to explain what you mean.

Offer new insights into old challenges or issues.

Show support and appreciation when employees do things
differently and show improvement. Help employees focus and build
on their successes.

Provide concrete and specific examples. Use a straight-talk
approach.

Recognize and celebrate individual and team successes when they
occur.
The Don’ts of Feedback

Avoid jargon, descriptions that are pompous or vague, and
judgmental language, which puts employees on the defensive.

Avoid giving destructive feedback or comments.

Avoid trying to build a case by linking one particular situation to
other situations.

Avoid speculating on motives; instead, check your assumptions.
75
 LISTENING
The Do’s of Good Listening

Be a good role model: demonstrate calmness, patience, and
attentiveness.

Be aware of your own hot buttons. Are there issues, concepts, or
words you feel strongly about or that set you off?

Let employees share their views and opinions before offering your
own. This is particularly important when you disagree with them.

Listen for feelings—feelings and motivations can sometimes be
more important than facts.

Reframe your thinking.

Be a sounding board for ideas or concerns.

Create a positive and relaxed atmosphere so employees can talk
openly.

Confirm your understanding by paraphrasing what your employee
has said.

Watch an employee’s body language, as well as listen to his or her
words.
The Don’ts of Good Listening

Avoid being a mind-reader; don’t assume that there are hidden
meanings behind the words.

Avoid getting defensive or angry. Don’t create new problems.

Avoid interrupting or finishing sentences.

Avoid jumping into a conversation to take control.

Avoid the assumption that that silence implies agreement or
consent.

Avoid “why” questions—they are often perceived as a criticism,
which puts people on the defensive.
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 CONFRONTING AND CHALLENGING
The Do’s of Confronting and Challenging

Help employees set different or difficult goals. Encourage a healthy
intolerance for mediocrity.

Encourage employees to solicit feedback from you and from peers.
Show that constructive criticism is an opportunity to think
unconventionally.

Help employees acknowledge that they lack the knowledge or
information that will help them.

Help employees break problems into manageable parts; guide them
in identifying the root causes of problems or issues.

Invite employees to discover their own personal learning style or
preferences in terms of how they best like to experience new
information.

Encourage employees to read books or articles that deal with new
or different concepts.
The Don’ts of Confronting and Challenging

Avoid confusing symptoms with causes.

Avoid hesitation when pointing out performance shortfalls

Avoid creating an environment where employees are not free to
comment, criticize, or play devil’s advocate to arrive at the best
solution.

Avoid creating an environment that doesn’t allow employees to
apply new knowledge or skills.
77
 PROBLEM-SOLVING
The Do’s of Problem-Solving

Ask probing and incisive questions to help identify the causes of a
problem.

Demonstrate how to use a wide range of problem-solving methods
and tools. Encourage employees to think deeply when looking for
solutions.

Help identify several possible answers or options, not just one.
Also, encourage employees to envision the consequences of
different courses of action.

Help separate fact from assumption. Make sure everyone is
comparing apples to apples.

Have employees develop a checklist of assumptions so they can
verify whether the data is factual.

Ask employees to look at their own biases and the limits of their
own personal comfort zones.

Show employees how to listen to their internal self-talk. How does
that internal voice help them move forward? Where does it hold
them back?

Try to get employees to find at least two or more individuals to
confirm any facts or data.
The Don’ts of Problem-Solving

Avoid accepting the situation or perceived limits at face value.

Avoid discouraging employees from associating with diverse
individuals who think in innovative ways.

Avoid creating an environment where conventional wisdom,
paradigms and sacred cows are not challenged.

Avoid looking for a solution before understanding the facts and the
context of an issue or problem.
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 EMPOWERING
The Do’s of Empowering

Ask employees to make suggestions and generate ideas of their
own. Encourage employees to look for new learning opportunities.

Be clear on the expected outcome, but avoid specifying exactly how
something should be done. Let employees design their own
approach.

Encourage employees to take as much responsibility as they think
they can handle. Look for specific projects that can provide
employees with new challenges.

Reward employees when they push or stretch their own personal
boundaries or limitations and support employees who make minor
mistakes when they try something different.

Watch your own behaviors for indications that you may feel a sense
of loss or threat when you delegate authority to others.
The Don’ts of Empowering

Avoid criticizing or imposing punishment when employees try their
best.

Avoid jumping in too quickly, even when mistakes are made.

Avoid assumptions that your employees have all the information
they need.

Avoid withholding information because you think it isn’t relevant to
the job, but also avoid providing excessive detail.
79
Conducting a Coaching Session
Prepare for the Coaching Session
Although most of your coaching will be informal and impromptu, it’s a good
idea to schedule some formal coaching as well. Arrange for a private space
where both of you will feel comfortable. Make sure there will be no
interruptions during your meeting (such as removing or disabling telephones
and mobile phones).
Planning the Discussion
Regardless of how casual a coaching relationship is, take time to determine
what exactly you want from the session and how you plan to achieve it. This
includes:

Knowing the purpose of the coaching discussion and having a mental
picture of what should occur.

Understanding what improvement is needed and why; being able to
list the specific differences between present performance and desired
performance.

Being able to explain the impact that the employee’s performance has
on the co-workers, the organization, and the employee’s future at the
organization.

Being able to describe the desired outcomes.

Being aware of potential difficulties.

Use the Coaching Planning Form to prepare.
80
Conducting the Coaching Session
As you and the employee work on improving job performance or achieving
new skills during the coaching session, remember that coaching is a
partnership.

Confirm that you both have the same understanding of the session’s
goals.

Keep the tone positive. Emphasize your sincerity in wanting to help.

Discuss the pros and cons and then agree on desired outcomes.

Present relevant data you have gathered during your observation of
the employee. Exchange perspectives on the situation or opportunity
at hand.

Give the employee an opportunity to present his or her ideas and to
respond to yours.

Listen actively and ask open-ended questions before sharing your
suggestions.
During the coaching session, be sure to develop an action plan that is
agreeable to both you and the employee you are coaching. An Action
Planning Worksheet is included.
Coaching Beyond the Session
Coaching includes having follow-up conversations. Ask how the coaching
session was helpful and what could be improved. Your follow-up should
include:

Asking what is going well and what is not.

Sharing your observations and reinforcing positive progress.

Looking for opportunities for continued coaching and feedback.

Identifying possible modifications to the action plan.
81
Coaching Planning Form
Use this form before a coaching session. Take the time so specify exactly what you hope to achieve and
how you intend to go about it.
Discussion with:
Date:
Areas where coaching is needed (base this on observations):
Purpose of coaching session:
Desired outcomes:
Why it’s important to coach (e.g., What is at stake? What are the consequences?):
Potential Difficulties
Methods for Handling
1.
1.
2.
2.
3.
3.
Specific Actions
1.
2.
3.
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Coaching Action-Planning Worksheet
Use this worksheet to establish an action plan that is agreeable to both you and the
employee you are coaching. It is critical to include specific measures of success and a
target review date for any actions to be completed.
Action to be Taken
Measure(s) of Success
Review
83
Six Core Competencies of Effective Coaches
Good managers possess good coaching skills, focusing on cooperation and
facilitation of employee development. Coaching involves creating a
comfortable environment where managers and employees can develop
action plans collaboratively. To become the most effective coach possible,
strive to master the following six competencies.

Empathizing

Giving and Receiving Feedback

Listening

Confronting and Challenging

Problem Solving

Empowerment
These same competencies apply whether you are coaching an individual or a
team. Now, take a few moments and read the material on each of the six
competencies.
Core Competency 1: Empathizing
Empathizing is the ability to understand an employee’s viewpoint and
feelings. Showing empathy creates a positive climate for coaching
communication. We have all felt the empathy of a sensitive teacher or
friend, and we have all noticed its absence in an unfeeling coach or boss.
Empathy doesn’t mean “I’m okay, you’re okay.” Nor does it mean that
leaders should adopt other people’s emotions as their own or try to please
everyone else. Empathy means taking employees’ feelings into thoughtful
consideration when making decisions.
84
Core Competency 2: Giving and Receiving Feedback
Feedback is useful and often invaluable information that tells people how
they’re doing and inspires people to act. The purpose of giving feedback is
to help employees continually improve their performance. How well do you
use feedback to help employees perform at their best? Giving feedback is a
way of helping employees to consider changing their behavior. Feedback is
most effective when used as part of a frequent, ongoing dialogue between
you and those you manage.
Keep the following guidelines in mind when giving feedback:

Focus on Behavior
Describe the employee’s behavior and its impact on projects or coworkers. Avoid “judging” language, which puts employees on the
defensive.
Example: Instead of “You’re rude and domineering,” you might say, “You
interrupted me several times in the meeting so I thought my ideas were
unimportant to you.”

Be Specific
Avoid general terms that don’t clearly describe the behavior you’re
discussing.
Example: Instead of “You did a really good job” you could say, “You
engaged the team really well by asking them meaningful questions.”

Be Sincere
Give feedback with the intention of helping the employee to improve.
Feedback is constructive when it is helpful and encouraging.
Example:
If a sudden and unavoidable crisis delays a project, suggest how better
planning might have minimized the effects of the crisis.

Give Feedback Early and Often
Frequent, incremental feedback is more helpful than infrequent, sudden
feedback. Also, feedback is most effective soon after the behavior has
occurred. In some situations, however, you may want to wait until
emotions cool down or for a private moment.
85

Honor Requests
Although you shouldn’t wait to give feedback until someone asks for it, be
aware that the employee who requests feedback is likely to take the
feedback to heart more than someone who hasn’t requested feedback.

Make Yourself Clear
After giving feedback, ask the employee to rephrase what you have said
so that you’re sure you’ve been understood.
Steps for Giving Feedback
1. Prepare for the feedback discussion.
2. Open the discussion by stating the purpose of your feedback.
3. Focus on the issues.
4. Explain the impact.
5. Invite the other person to respond.
6. Acknowledge your part in the problem, when appropriate.
7. Discuss options and reach agreement on a solution.
Steps for Receiving Feedback
1. Remain calm.
2. Listen.
3. Ask questions to clarify for understanding.
4. Acknowledge other persons view point.
5. Briefly correct any misinformation.
6. Express your willingness to hear suggestions or engage in mutual
problem solving.
86
Core Competency 3: Listening
Good listening involves hearing the words and understanding the emotions
and issues beneath the words. The ability to listen attentively and without
judgment, advice, or logic is one of the most difficult and prized skills for
coaches to master. Emotionally intelligent managers know that listening to
employees is critical to forming strong bonds and developing an open,
friendly environment conducive to creativity, productivity, and high quality.
It also reduces conflict and encourages more creative problem-solving. Like
developing a good golf swing or learning to play a musical instrument,
listening takes practice.
Within the other’s
frame of reference
5. Empathetic Listening
4. Attentive Listening
Within one’s own
frame of reference
3. Selective Listening
2. Pretend Listening
1. Ignoring
Asking Questions
Asking good questions and the right questions are a crucial part of listening.
Questions are a vehicle to encourage employees to tell you what matters to
them.
There are open questions, closed questions, and questions in between.
Because different types of questions yield different responses, use the
following chart to determine which type of questions will be most effective in
a specific situation.
87
Open Questions
These tend to elicit
detailed responses and
allow the person who is
responding to the question
to control the conversation.
Open-ended questions
typically begin with
Who
What
Where
When
How
Why
Closed Questions
Purpose
Invite participation and
generate a more lengthy
explanation.
Explore alternatives and
possibilities.
Encourage use of different
perspectives.
Explore attitudes and feelings.
Discover underlying issues.
Example
“What’s happening with the
project?”
“What would happen if…?”
“What is another possible
explanation?”
“How do you feel about our
decision?”
“Under what conditions would
you take on this project?”
These tend to elicit yes or
no answers.
Focus a response.
Confirm your understanding of
what a person has said.
Make a polite demand.
“Is the project on schedule?”
“So the critical issue here is
cost?”
“Can I count you in?”
Slightly Closed
Questions
Encourage a focused and
open-ended response.
“What do you think are the
most important issues here?”
These are not quite open
and not quite closed. They
are specific but encourage
some elaboration.
Negative Focus
Successful Approach
“Why were you late?”
“What stops you from being here on time?”
“How can you start arriving on time?”
What would help you get here on time?”
“How did this happen?
“Why does this always
happen?”
“What do we need to happen instead?”
88
Core Competency 4: Confronting and Challenging
Confronting and challenging is bringing to the attention of your employees
their professional issues or problems. To confront and challenge effectively,
you must understand the core dimensions of conflict and how you typically
deal with situations where conflict is present. All conflicts follow patterns,
predictable actions of communication and response. As you try to
understand complicated conflicts, remember to observe what happens: who
says what, in what order, about what topics, and with what kind of
nonverbal communication. Being a good detective helps you become a good
conflict analyst.
Definitions of Conflict

Disagreements, differences of opinions, divergent interpretations,
struggles for control and multiple perspectives.

Dissatisfaction or disagreement with an interaction, process, product,
or service.

Divergence of interest, or a belief that all parties’ current aspirations
cannot be achieved simultaneously.
Conflict Style
Conflict style matters because it is a factor that can escalate conflict.
Conflict style is a specific form of a person’s general style of interpersonal
interaction. It is a person’s patterned responses to conflict in a variety of
situations.
Direct and Indirect Conflict Resolution Approaches
We all know some people who express disagreement in a direct manner, and
we know others who communicate their differences of opinion indirectly.
Direct Conflict Style Patterns
Indirect Conflict Style Patterns
Words are the most important part of the
message
Precise, explicit language
Non-verbal cues are the most important part
of the message
Ambiguity and vagueness in language
Reliance on face-to-face resolution of
disagreements
Reliance on third parties for resolution of
disagreements
Speaking your mind
Discretion in voicing goals
Verbally assert difference of opinion
Talk around disagreements
Focus is on resolving disagreements
Focus is on repairing and preserving the
integrity of relationships
89
Emotionally Expressive/Restrained Conflict Resolution
Approaches
The actual emotions we experience (such as fear or anger) are universal
across individuals. However, the way these emotions are expressed differs
across groups. Called “display rules,” emotional expression is learned from
the specific communities to which you belong.
Emotional Expressiveness Style
Emotional Restraint Style
Overt display of emotions
Disguised display of emotions
Control emotions by “externalizing”
Control emotions by “internalizing”
Visible display of feelings through nonverbal
behavior
Minimal display of feelings through
nonverbal behavior
Expansive vocalization
Constrained vocalization
Sensitive to constraints on expressing own
feelings
Sensitive to hurting feelings of other party
Emotional information necessary for
credibility
Emotional suppression necessary for
credibility
Core Competency 5: Problem-Solving in Coaching
Problem-solving is about your ability to find appropriate methods of
analyzing employee performance issues and then exploring avenues that
might lead to solutions. Problem-solving is an action—a continuous process
of alternating phases of:

reflecting on a problem

testing new solutions

reflecting on the success of these actions in particular contexts

honing, refining, and adapting these actions according to results and
circumstances
The most important point is that problem solving involves action.
1. Problem solving is employee-specific. How particular employees respond
to the invitation to engage in problem solving varies enormously.
Employees vary according to the capacities they have, the abilities they
develop, and the experiences they undergo. Also, and maybe most
important, are the variable of personality and cultural background.
90
2. Emotions are central to problem solving. The processes involved in
problem solving are infused with an emotional dimension. Challenging
unquestioned assumptions, looking skeptically at givens you have lived
by, and trying to shake off habitual ideas and behaviors so that you can
try out alternatives are emotionally potent activities. They may very well
produce anxiety, fear, resentment, and feelings of being threatened or
intimidated. These activities can also be accompanied by feelings of
liberation, release, relief, and the joy of abandoning internalized rules
that you have perceived as constantly blocking your growth and
development.
3. Intrinsic and extrinsic reasons for problem solving are both important.
Learning to problem solve can be arduous. Employees who are most
likely to persist in this activity and who are most likely to weather
successfully periods of anxiety, self-doubt, blockage, and difficulty, are
those who are driven by extrinsic as well as intrinsic motives. Hoping
that some direct improvement in areas of their work (and personal life) is
one reason employees continue to struggle with difficult tasks and selfdoubts without quitting.
4. Problem solving insights often occur unexpectedly. The moments when
employees break through habitual ways of interpreting some idea or
action cannot be predicted in advance. Some of the most exciting
experiences as a facilitator of problem solving occur when employees
depart from the “script” to explore a concern that is of great significance.
5. Peer support is crucial to problem solving. Beginning to problem solve is
frequently a very tentative process. You may flirt privately with new and
alternative ways of interpreting familiar ideas and behaviors but lack the
impetus to realize these in action. When employees undertake problem
solving in groups, their private interpretations gain legitimacy as others
venture similar interpretations and realizations.
91
Core Competency 6: Empowering
Empowerment is about giving your employees the freedom to determine
how they will achieve professional goals. To what extent do you create a
climate of trust where employees feel they can take risks and make
mistakes as they learn?
Keys to Empowerment
Responsibility
Have you ever been reprimanded for failing to do something, yet you didn’t
know it was your responsibility in the first place? When people don’t
understand their responsibilities, the results are confusion and wasted effort.
Authority
Without authority, employees are powerless in their ability to get the job
done. A common complaint at all levels in today’s workplace is, “I have the
responsibility, but I don’t have the authority to get the job done.”
Employees often feel stressed and lose their desire to use their talents when
their efforts are repeatedly undermined by a lack of authority.
Standards
Make sure you have the right standards. Low standards waste valuable
resources and have a negative impact on productivity and morale.
Unrealistically high standards cause stress and don’t allow for a meaningful
measure of achievement. The right amount of challenge goes hand in hand
with job satisfaction.
Information
Even in our current Information Age, it is challenging to get the right
information in the right amount to the right employees at the right time.
Here are some guidelines for determining whether information should be
communicated:

Does the employee have the capacity to assimilate and use the
information?

Is the information in a form that the employee can easily grasp and
use?

Is the information relevant to the job?

Will the information help motivate the employee with purpose and
92
pride?

Will the information help the employee perform the job better?
Recognition
While there are many ways to recognize employees, be aware that the way
you choose to recognize them sends a message (to both the employee you
are recognizing and to others) beyond the mere content of the recognition.
Here are some questions to guide you in acknowledging an employee’s
performance:

Does the recognition acknowledge the employee as well as the
accomplishment? Does it reinforce the employee’s sense of selfesteem?

Does the recognition convey sincere appreciation?

Does the recognition fully acknowledge the employee’s
accomplishment?

How will the recognition be perceived by the employee’s peers? Is it
equal to what you have given other employees for similar
achievements?

Is the form of recognition appropriate for the achievement?
Trust
Trust is vital to the health of any working relationship. When employees feel
trusted, they are free to concentrate their efforts on the job instead of
worrying about how they will justify their actions. Sometimes, it takes the
trust of another person for employees to learn to trust themselves. For
example, managers who have the confidence and empathy to tell their staff,
“It’s okay. I believe you can do it. I trust you,” give their employee the
confidence to take appropriate risks.
Failure
While no one recommends encouraging employees to take a haphazard
attitude about their mistakes, a good coach encourages people to see an
error as a learning experience rather than as a negative career mark. Here
are some questions to guide you in determining when and how to let
employees make a mistake:

What is the potential cost of the mistake to the agency?

What is the potential cost of the mistake to the employee?
 What is the potential cost of the mistake to you, the manager?
93
Coaching Competencies Self-Assessment
Which of the coaching competencies presented in this section would you like
to improve in? Place a check mark next to the competencies you’d like to
develop further and identify action steps to strengthen your skills. Then work
with a partner to identify the areas for improvement within your chosen
competency and the actions you intend to take to strengthen your skills
within this competency.
Competency
Area for Improvement
Action(s) to Strengthen
 Empathizing
 Giving and
Receiving
Feedback
 Listening
 Confronting
and Challenging
 ProblemSolving
 Empowering
94
Appendix F
Communication Tools
95
Key messages outline
1) Messages about the business today
a) The current situation and the rationale for the change
i)
Business issues or drivers that created a need for change
ii)
Competitive issues or changes in the marketplace
iii)
Customer issues
iv)
Financial issues
b) What might happen if a change is not made
2) Messages about the change
a) A vision of the organization after the change takes place
b) Scope of the change (including process scope, organizational scope, systems
and technology scope)
c) Objectives for the change (what does success look like)
d) Overall timeframe to implement the change
e) Alignment of the change with the business strategy
f) How big of change is needed (how big is the gap between today and the future
state)
g) Who is most impacted and who is least impacted
h) The basics of what is changing, how it will change, and when it will change
including what will not change
i) What do we know about the design of the change right now
j) Details about the solution (process, technology, organizational changes, job role
changes)
3) Messages about how the change impacts employees
a) The expectation that change will happen and is not a choice
b) The impact of the change on the day-to-day activities of each employee
96
c) WIIFM – “what’s in it for me?” – from the employees’ perspective
d) Implications of the change on job security (will I have a job)
e) Specific behaviors and activities expected from the employee, including support
of the change
f) Procedures for getting help and assistance during the change
g) Ways to provide feedback
4) Status updates and progress reports
a) The schedule for the project overall
b) When will new information be available
c) How will information be shared about the project
d) Major milestones and deliverables
e) Key decision points
f) Early success stories
97
Communication plan template
1) Communication Goals:
2) Key messages and release schedule:
Timing
Message
content
Delivery
mechanism
Sender
Date and time
First indications
that change is
likely
e.g. Section
1, a-d
Face to face
at leadership
team meeting
Primary
sponsor
13 June, 1:00
Early stages of the
project
During the design
of the change
Before
implementation
During
implementation
Postimplementation
98
Communications Checklist
 Did you answer the question “why is this change happening?”
When people learn about a change, their first question is “why?” Acceptance of, and participation in,
change increases when people know why it is happening. It is important to reinforce the “why”
throughout the entire project, especially if there are large time lapses between communication
events.
 Did you answer the question “what are the benefits and how does the change affect
me?”
After communicating the “why” about change, the next question people have is “how will this affect
me personally?” To gain support from the people who must participate in change, it is important to
provide a compelling case about how the participants will be better off or what they will get out of
engaging in change.
 Are you using the right channel to deliver communication?
Research shows that employees prefer to hear messages from two people in the organization – the
leaders of the organization (for messages about the business issues and reasons for change) and
their immediate supervisor (for messages about the personal impact of change.)
 Are we using face-to-face communication?
This is the most effective form of communication. While it is more time intensive, it is an important
component of a communications strategy around change.
 Are you creating opportunities for two-way communication?
People need the opportunity to share concerns, provide feedback and ask questions. Two-way
communication creates buy-in and provides answers in real-time.
 Are you repeating key messages five to seven times?
When change is first announced, people are usually focused on how it will affect them personally
and will not pay attention to the details of the change. Repeating key messages is essential to
ensure that what you want to get across is being heard. Err on the side of over-communication.
 Are you using effective ways to reach employees?
The best communications approach uses a variety of channels to reach people – newsletters,
presentations, one-on-one, meetings, intranet, Q&A forums, workshops, brainstorming sessions, etc.
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Appendix G
Resources

Bridges, William, Managing Transitions: Making the Most of Change, 2nd ed.
Boulder Colorado: Perseus, 2003.
Leaders need a clear understanding of what transition does to employees and what employees in
transition can do to an organization. This updated edition provides practical, step-by-step strategies
for implementing change and for minimizing the disruptions it causes.

Fullan, Michael G. Leading in a Culture of Change. New York: John Wiley & Sons,
2001.
Fullan offers insights into the dynamics of change and presents a unique and imaginative approach for
navigating the intricacies of the change process.

Kotter, John P., and Dan S. Cohen. The Heart of Change: Real Life Stories of How
People Change Their Organizations. Boston: Harvard Business School Press, 2002.
Through compelling real-life stories, the authors explore the fundamental question of how to change
people’s behavior in an organization.

Kotter, John P. Leading Change. Harvard Business Review Press; 1st ed., 1996.
Kotter offers dozens of hands-on, practical examples of what drives the engine of change –
leadership – and how a purely managerial mindset inevitably fails, regardless of the quality of people
involved.

Linsky, Martin, and Ronald Heifetz. Leadership on the Line: Staying Alive Through the
Dangers of Leading. Boston: Harvard Business School Press, 2002.
Leadership experts Heifetz and Linsky show leaders how to put themselves on the line, respond
effectively to risks, survive the experience, and celebrate their efforts.

McLagan, Patricia. Change is Everybody’s Business: Claim Your Change Power.
San Francisco: Berrett-Koehler, 2002.
McLagan outlines beliefs, skills, and actions for welcoming and taking advantage of change rather than
fearing and resisting it.

Scott, Cynthia D., and Dennis Jaffe. Managing Change at Work. Menlo Park, CA:
Crisp, 2003.
Transition and restructuring are common realities in organizations. The authors offer a step-by-step
program that helps managers meet these challenges successfully.
______

Prosci, a world leader in change management research, sponsors the Change Management
Learning Center with online access to Prosci’s change management tools, books, articles,
case studies and other change management resources. http://www.change-management.com/
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