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Enterprise Client Information and Registration Tracking System (eCIRTS) Project

Sponsor Roadmap

Prepared by: Deanna Settergren, Organizational Change Manager

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Table of Contents 1 Sponsor Roadmap ......................................................................................................................................... 3

1.1 eCIRTS Project Overview .............................................................................................................................. 3 1.2 Sponsor Roadmap Introduction ................................................................................................................... 3 1.3 Document Purpose ...................................................................................................................................... 4 1.4 Guidance for the eCIRTS Project Sponsor .................................................................................................... 4 1.5 eCIRTS Project Sponsor Role in Managing Change ...................................................................................... 5 1.6 Preparing the Sponsor Roadmap ................................................................................................................. 6 1.7 Customizing the Sponsor Roadmap ............................................................................................................. 7

2 eCIRTS Project – Sponsor Roadmap .............................................................................................................. 7

2.1 Engage the Organizational Change Manager as the Primary Sponsor’s Coach ........................................... 7 2.2 Sponsor Coalition and Assessment Diagram ................................................................................................ 7 2.3 Primary Sponsor Competency Assessment .................................................................................................. 8 2.4 Primary Sponsor Checklists .......................................................................................................................... 9

2.4.1 Primary Sponsor Responsibilities Model .................................................................................................. 9 2.4.2 Primary Sponsor Plan for the Initiation Phase ......................................................................................... 9 2.4.3 Primary Sponsor Plan for the Planning Phase ........................................................................................ 11 2.4.4 Primary Sponsor Plan for the Design Phase ........................................................................................... 12 2.4.5 Primary Sponsor Plan for the Implementation Phase ............................................................................ 13

2.5 Measure Sponsor Effectiveness ................................................................................................................. 14 2.5.1 Accountability for Sponsor Effectiveness ............................................................................................... 14

APPENDIX A: eCIRTS Project Change Management Risk Assessment Grid .......................................................... 15

APPENDIX B: Prosci Customization Guidelines – Medium Risk ............................................................................ 16

APPENDIX C: Sponsor Coalition and Assessment Diagram (Confidential) ............................................................ 16

APPENDIX D: Sponsorship Checklist .................................................................................................................... 17

Appendix E: Primary Sponsor Competency Assessment ...................................................................................... 18

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1 Sponsor Roadmap 1.1 eCIRTS Project Overview The current technology used by the Department of Elder Affairs (DOEA) to record and track client information and services, the Client Information and Registration Tracking System (CIRTS), is more than 25 years old and uses an obsolete technology that is no longer supported.

Continuing to depend on antiquated technology reduces the stability, dependability, extensibility, and supportability of DOEA’s most critical line of business application. This, coupled with some non-standardized processes, has resulted in significant inefficiencies and stagnant productivity.

The implementation of a next generation CIRTS (eCIRTS) will allow DOEA to achieve its goals of standardizing and optimizing processes, improving client service documentation, enhancing client data management, and increasing staff efficiency and accountability.

1.2 Sponsor Roadmap Introduction The eCIRTS Sponsor Roadmap was developed for DOEA to employ the change management methodology developed by Prosci. The Prosci methodology requires that five plans be created to manage DOEA’s organizational change. The five plans developed to manage DOEA’s organizational change include the following:

1. Communications Plan; 2. Sponsor Roadmap; 3. Coaching Plan; 4. Resistance Management Plan; and 5. Training Plan.

Each of the above change management plans will help drive certain elements of the Prosci ADKAR® Model, including awareness, desire, knowledge, ability, and reinforcement. The Prosci methodology for managing individual change involves utilizing the ADKAR® Model as outlined in the diagram below.

Figure 1: Alignment of Change Management Plans with the ADKAR® Model

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The Sponsor Roadmap is designed for use by the eCIRTS Organizational Change Manager and the eCIRTS Project Sponsor. The Organizational Change Manager and Project Sponsor will utilize this plan as a guideline to coach the Sponsor Coalition (see Appendix C) throughout the life of the eCIRTS Project.

1.3 Document Purpose

The purpose of this document is to outline the key activities and responsibilities of the Primary Sponsor for supporting change during each phase of the project. The Sponsor Roadmap is vital to help transition employees and DOEA through the eCIRTS Project organizational change and realize the desired benefits and project objectives.

As illustrated in the Prosci ADKAR® Model above, the Sponsor Roadmap is essential for the individual change management phases of building awareness, desire, and reinforcement. The desired outcomes from effective coaching and sponsorship of the Sponsor Coalition include the following:

• Awareness of how the change aligns with the mission of DOEA, including why the change is needed and the risks of not changing.

• Desire for the successful completion of the eCIRTS Project created through coalition building and the management of resistance from mid-level managers by addressing the gaps identified in the Sponsor Coalition and Assessment Diagram (see Appendix C).

• Reinforcement of the change through visible recognition and rewards that come directly from DOEA’s leadership.

Providing effective sponsorship for the eCIRTS Project helps increase the Return on Investment (ROI) and adoption rate of the new system. Leveraging the most recent Prosci study guidelines listed below to prepare the Project Sponsor and Sponsorship Coalition increases the project’s probability of success:

• Sponsor Best Practices; • Sponsor Assessment Diagram; • Sponsor Responsibilities; • Sponsor Coaching; and • Sponsor Effectiveness.

1.4 Guidance for the eCIRTS Project Sponsor Based on numerous Prosci studies focused on the role and need for an engaged Project Sponsor, the most common Sponsor mistakes made include the following:

1. Failing to remain active and visible throughout the life of the project; 2. Underestimating or misunderstanding the “people” side of change; 3. Failing to communicate messages about the need for change; 4. Delegating the sponsorship role and responsibilities; and 5. Failing to demonstrate support for the project in words and actions.

By understanding the most common Sponsor mistakes, the Sponsor Roadmap will focus on ensuring that the eCIRTS Project has the sponsorship needed for successful change. To support effective

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sponsorship, the eCIRTS Sponsor Roadmap targets the following key team roles to manage change throughout the project:

• Primary Sponsor – The person who charters or authorizes the change. • Sponsor Coalition – Mid-level managers and supervisors who are supportive of the change

and promote the change with their actions, behaviors, and communications. • Stakeholders – Individuals impacted by the change but who may not have direct oversight or

influence over the project.

1.5 eCIRTS Project Sponsor Role in Managing Change The Organizational Change Manager used the Prosci Project Change Triangle™ (PCT) Assessment to define the scores of the three elements necessary for the eCIRTS project to be successful. The scores assessed for the Project Sponsor are described in the figure below:

• Leadership/Sponsorship (L/S): Provides the guidance and governance for the project. • Project Management (PM): Gives structure to the technical side of the change. • Change Management (CM): Supports the people side of change.

Figure 2: PCT Assessment

Using the PCT Model to establish the baseline measurement for the current sponsorship of the eCIRTS Project provides the framework for understanding the most important criteria to focus on for successful change. When you include the Project Sponsor’s actions and decisions, the resulting diagram below shows how the influence of effective leadership supports Project Management and Change Management.

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Figure 3: Project Sponsor Role in Managing Change – PCT Extensions

With respect to Project Management, the Project Sponsor has a decision-making role in terms of resources, schedule, and scope for the project. In terms of Change Management, the Project Sponsor has the following three roles known as the “ABCs” of Sponsorship:

• Actively and visibly participate throughout the project; • Build a coalition of sponsorship with peers and managers; and • Communicate directly with employees.

1.6 Preparing the Sponsor Roadmap The Organizational Change Manager used the ABCs of Sponsorship as the guideline for preparing the eCIRTS Sponsor Roadmap. These guidelines include the following:

1. Preparing the Sponsor Roadmap for the Primary Sponsor to ensure that he remains active and visible throughout the project;

2. Providing the Primary Sponsor with the Sponsor Roadmap and checklists (organized by target groups and timing for the change) to ensure that the communication is timely with each group of affected employees; and

3. Facilitating and assisting the Primary Sponsor in completing the Sponsor Roadmap and items on the checklist to build and support the Sponsor Coalition.

Using the eCIRTS Sponsor Roadmap as a guide, the Organizational Change Manager will be the primary and ongoing coach for the Primary Sponsor to prepare him for the following:

• Providing support to the eCIRTS Project Team; • Developing management sponsorship with critical sponsors and the leadership team; and • Providing direction and creating awareness with DOEA staff.

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1.7 Customizing the Sponsor Roadmap The eCIRTS Project Risk Assessment in APPENDIX A was completed by the eCIRTS Project Sponsor, Project Management Team, and Change Manager to profile the size and type of change and the attributes of the affected organization and groups. As a result, the eCIRTS Project was profiled as a “medium” people risk change. Because this change is considered medium risk, the following approach to coaching is recommended:

Category Level Minimum Level of Sponsorship Mid-Level Management Frequency of Communication Medium Level of Sponsor Training Medium Change Management Team Support Hands-on Resistance Management Decisive Feedback Processes Formal and proactive Adherence to Sponsor Checklist Strict

A summary of the Sponsor Roadmap customization guidelines used to address and mitigate a Medium Risk change are shown in APPENDIX B.

2 eCIRTS Project – Sponsor Roadmap 2.1 Engage the Organizational Change Manager as the Primary Sponsor’s Coach The Organizational Change Manager will coach the Primary Sponsor throughout the project. In this role, the Organizational Change Manager is responsible for the following:

• Working with the Primary Sponsor to monitor the progress of the Sponsor Coalition; • Coaching the Primary Sponsor to be effective in his role (ABCs of sponsorship); • Preparing communications for the Primary Sponsor and the rest of the Sponsor Coalition (in

coordination with the Communications Lead from the DOEA Communications Office);

• Working with the Sponsor Coalition to schedule the activities needed to perform as effective sponsors of change (for both the Communications Plan and Sponsor Roadmap activities); and

• Monitoring and engaging the necessary resources at each phase of the project according to the Primary Sponsor checklists (shown in Section 2.4).

2.2 Sponsor Coalition and Assessment Diagram NOTE: Due to the sensitive nature of the information contained in the Sponsor Coalition and Assessment Diagram, the information in this section and in APPENDIX C is only being shared with the Primary Sponsor.

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2.3 Primary Sponsor Competency Assessment The Organizational Change Manager completed the Primary Sponsor Competency Assessment, which is available which for review in APPENDIX E. The Primary Sponsor scored an A1, which indicates the Project Sponsor is supportive of the change and has a high level of change competency. Using the results gleaned from the assessment, the Primary Sponsor should focus his activities on the following areas:

• Participate actively and visibly throughout the project o Be accessible to the project team; and o Ensure other managers are also accessible.

• Build a coalition of sponsorship with peers and managers o Coach managers resistant to change; o Hold direct, face-to-face meetings with mid-level management to explain the “what,

why, and how” of the project; and o Provide the management team with frequent project updates and status information.

• Communicate to employees and managers o Effectively communicate why the change is happening, the benefits of the change,

the risk of not changing, and the future vision for the organization; o Communicate frequently throughout the project, not just during the kickoff of the

project, using multiple forms of media; and o Interact effectively with managers, equipping them create and communicate a

consistent message to employees.

This document and the Communications Plan will direct the Primary Sponsor’s efforts to improve his effectiveness in these areas.

In addition to the areas described above, the Project Sponsor has added the eCIRTS Project and Change Management Update agenda item to the standing bi-weekly DOEA executive team meetings. This is to ensure that the status updates for the eCIRTS Project and Change Management effectiveness messages are communicated consistently throughout the project.

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2.4 Primary Sponsor Checklists

2.4.1 Primary Sponsor Responsibilities Model The Sponsor Responsibilities Model below illustrates the responsibilities of the Primary Sponsor in each project phase with each respective audience.

Sponsor Model Project Team Managers Employees

Initiation Acquire project resources Build management support Create awareness

Planning Communicate expectations Provide training Share plans

Design Provide direct support Develop sponsorship Educate

Implementation Maintain momentum Align leadership Reinforce and reward

Table 2: Sponsor Responsibilities Model

The Sponsor Responsibilities Model is broken down into four major project phases: initiation, planning, design, and implementation. The activities and steps associated with each phase are categorized by the Primary Sponsor’s target groups – Project Team, Managers, and Employees. This framework, along with the Sponsor Plan items listed in the following sections, form the foundation of the Sponsor Roadmap.

2.4.2 Primary Sponsor Plan for the Initiation Phase In the Initiation phase, the major activities are focused on project kick-off. Resources are being acquired, awareness is being built, and management support is being established.

Target Group Activity to be Addressed Notes

eCIRTS Project Team

Select the best project leader and team members. Provide change management activities. Set priorities related to day-to-day work vs. project work to allow adequate

team member participation. Be directly involved with the project team, set expectations, review key

deliverables, and remove obstacles. Take ownership for success of the project and hold the team accountable for

results. Establish a commitment to change management, talk about change

management, and ensure that required roles are filled.

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Target Group Activity to be Addressed Notes

Executive Managers and Stakeholders

Enlist the support of executive managers and create a support network needed to support the change.

Educate senior managers about the business drivers for change and the risks of not changing.

Create change advocates within the leadership team and build support and enthusiasm for the change.

Establish change activities that the leadership group is responsible for completing.

Determine and communicate priorities between this change and other change initiatives.

Connect the project to DOEA's strategy and goals. Hold mid-level management accountable. Model change through personal examples and hands-on involvement.

Employees Describe the current state of DOEA and share issues or opportunities. Explain why a change is needed now and share the risks of not changing. Share a vision for the future, explain the nature of the change, and show how

the change will address the business problems or opportunities. Set the expectations for employees and answer the question “What will this

change mean for me?” Be proactive, vocal, and visible; communicate frequently, especially in person. Communicate clearly and honestly about aspects of the project that are still

unknown.

Table 3: Primary Sponsor Plan for the Initiation Phase

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2.4.3 Primary Sponsor Plan for the Planning Phase In the Planning phase, the major activities focus on functional and technical details planned for the eCIRTS Project. The Primary Sponsor provides direct support to the eCIRTS Project Team by assisting and reviewing the project documentation and plans.

Target Group Activity to be Addressed Notes

eCIRTS Project Team

Be directly involved with the eCIRTS Project Team, set expectations, review key deliverables, and remove obstacles.

Keep the team on track and define and manage “scope creep.” Communicate expectations and feedback from other managers.

Executive Managers and Stakeholders

Provide training on change management for senior managers. Solicit and respond to management feedback. Work with managers who show early signs of resistance. Communicate eCIRTS Project status to executive management. Connect the project to DOEA's strategy and goals. Model change through personal examples and hands-on involvement.

Employees Share a vision for the future of DOEA; explain the nature of the change and how the change will address DOEA’s problems or opportunities.

Set the expectations for employees and answer the question “What will this change mean for me?”

Be proactive, vocal, and visible; communicate frequently, including in person. Communicate clearly and honestly about aspects of the eCIRTS Project that are

still unknown. Share plans with staff. Show eCIRTS Project milestones and provide progress updates. Recognize the good work being accomplished by celebrating the successes in

person; be present and visible.

Table 4: Primary Sponsor Plan for the Planning Phase

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2.4.4 Primary Sponsor Plan for the Design Phase In the Design phase, the major activities focus on the Primary Sponsor providing direct support to the eCIRTS Project Team, developing a sponsorship coalition, and beginning to educate DOEA employees about the upcoming change.

Target Group Activities to be Addressed Notes

eCIRTS Project Team

Be directly involved with the project team; set expectations; review key deliverables; and remove obstacles.

Keep the eCIRTS Project team on track; manage “scope creep.” Communicate expectations and feedback from other managers. Resolve issues and conflicts; respond to escalation. Take the time to understand the solution. Identify conflicts with other projects that may affect this team. Make sure the project team knows that your door is open and

that you are available to support their work. Play an active role in all critical decisions.

Executive Managers and Stakeholders

Work with managers who show early signs of resistance. Let senior managers know how they can proactively support the

change; provide them with a clear roadmap for sponsoring the change with their direct reports.

Solicit and respond to management feedback. Provide training on change management for senior managers. Communicate eCIRTS Project progress to all executive managers. Ensure that a consistent message is being sent by managers to

affected employees.

Employees Communicate clearly and honestly about aspects of the eCIRTS Project that are still unknown.

Reinforce the reason for change, the risk of not changing, and the evolving details about the future.

Show eCIRTS Project milestones and provide progress updates. Set the expectations for employees and answer the question

“What will this change mean for me?” Listen to what employees have to say; take the pulse of the

organization and collect feedback. Share plans with staff. Repeat any key messages. Recognize the good work being accomplished by celebrating the

successes in person; be present and visible. Be proactive, vocal, and visible; communicate frequently,

including in person. Ensure that adequate time is allocated for training and skill-

building prior to implementation.

Table 5: Primary Sponsor Plan for the Design Phase

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2.4.5 Primary Sponsor Plan for the Implementation Phase In the Implementation phase, the major activities focus on getting employees trained and knowledgeable about the solution, providing coaching and support, and reinforcing the need for the new solution so employees do not go back to their old ways or create new ways to work around the solution. The Project Sponsor maintains momentum with the eCIRTS Project Team, ensuring support from the sponsors, managing resistance, and reinforcing/rewarding for the ongoing use of the eCIRTS Project changes.

Target Group Activities to be Addressed Notes

eCIRTS Project Team

Stay engaged with the eCIRTS Project team; attend meetings; reward successes; hold the team accountable for results; and build enthusiasm.

Remove roadblocks and help the team overcome obstacles. Resolve issues and conflicts; respond to escalation. Communicate expectations and feedback from other managers.

Executive Managers and Stakeholders

Communicate expectations to senior managers for their support of the change.

Manage resistance from middle managers; correct or remove managers who will not support the change.

Model the change through personal example and hands-on involvement.

Stay involved throughout the entire eCIRTS Project; stay visible.

Employees Reinforce key messages; align business strategy with project objectives; increase personal communications.

Reinforce why the change is being made and the risk of not changing (some employees may be ready to hear this message only when the change is near implementation).

Listen to employees and encourage feedback; be willing to answer the tough questions.

Set expectations for employees; clearly communicate the consequences of not changing.

Recognize the good work being accomplished by celebrating the successes in person; be present and visible.

Table 6: Primary Sponsor Plan for the Implementation Phase

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2.5 Measure Sponsor Effectiveness

2.5.1 Accountability for Sponsor Effectiveness The Primary Sponsor has a standing monthly meeting with the eCIRTS Project Sponsor Coalition to receive updates on the eCIRTS Project. This meeting includes a standard discussion of “eCIRTS Project Sponsor Effectiveness” as an ongoing topic. The Primary Sponsor has requested other sponsors in the coalition to do the same with their direct reports. This discussion is to confirm support for the change initiative and ensure that sponsor engagement is successful, mitigate resistance, and generate the necessary outcomes to support the success of the eCIRTS Project. This meeting will also be used to reinforce why effective sponsorship is critical, continue sponsor roles and responsibility education, and ensure that the following sponsor actions are performed:

• Attend all eCIRTS public forum events to promote awareness; • Effectively and clearly communicate throughout the change process; • Proactively assist employees through resistance management; and • Visibly embrace the change so employees can relate the change with their job duties.

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APPENDIX A: eCIRTS Project Change Management Risk Assessment Grid

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APPENDIX B: Prosci Customization Guidelines – Medium Risk

Risk Category Medium Risk Customization Guidelines

Level of Sponsorship (Organizational Hierarchy)

Mid-level management.

Change Management Team and Coalition Support

Hands-on support building the Sponsor Coalition, accessible to Change Management Team to participate in key communications, and available upon request to engage with affected groups.

Key Focus Areas of Sponsor

Focus on resistance prevention and proactive resistance management. As a coach, support change management capability development for leaders and managers. Apply ADKAR® and the 10 Tactics to break down resistance.

Adherence to Sponsor Checklist

Target adherence to the Sponsor Checklist and focus on awareness and desire categories with early attention given to appropriate reinforcements necessary to ensure that the change will continue. Reference Prosci’s Best Practice Sponsor Activity Model.

APPENDIX C: Sponsor Coalition and Assessment Diagram (Confidential)

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APPENDIX D: Sponsorship Checklist The Sponsorship Checklist draws upon benchmarking research and can be used as an audit tool.

1. Are sponsors aware of the important role they play in making change successful? In Prosci benchmarking studies, the number one response by participants when asked what the greatest overall contributor was to project success was active and visible sponsorship.

2. Do sponsors know their three biggest roles in supporting organizational change? The three key roles for sponsors: (1) Participate actively and visibly throughout the project, (2) Build a coalition of sponsorship with managers and peers; and (3) Communicate directly with employees. Nearly 50% of study participants ranked their sponsor as having a moderate to poor understanding of their role.

3. Are sponsors active and visible throughout the project? Effective sponsors cannot stand on the sidelines – they must be involved in more than just passively endorsing the project. They must stay active and visible throughout the project.

4. Are sponsors building coalitions that are needed for the change to be successful? Effective sponsors must interact with the other leaders necessary to make the change successful. The Primary Sponsor must build relationships and commitment with these other key leaders.

5. Are sponsors communicating directly and effectively with employees? The sponsors of change are one of the two preferred senders of communication messages. Sponsors need to directly communicate with employees about the business reasons for change, the risks of not changing, and why the change is happening now.

6. Do sponsors know that the biggest mistake cited by study participants was failing to personally engage as the sponsor of change? Failure to engage personally, abdicating their role to lower level managers or the project team, and failing to communicate reasons for change with immediate employees are the biggest mistakes cited by study participants. Project teams face tremendous difficulties when they have a sponsor who does not personally engage in the change.

7. Is the Primary Sponsor prepared to manage resistance? Managing resistance is a key role of sponsors, managers, and supervisors. The Primary Sponsor needs to be prepared and ready to deal with resistance in the organization – especially from other senior and mid-level managers. The Organizational Change Manager needs to coach senior leaders on how to identify root causes of resistance and how to engage and manage resistance when it happens.

8. Are sponsors prepared to celebrate success? Celebrating success – even small or short-term success – is an important part of building support and momentum for change. Sponsors play a key role in recognizing employees both publicly and privately.

9. Are sponsors setting clear priorities regarding this initiative, other initiatives, and day-to-day work? Sponsors influence priorities through their behaviors, actions, and the communications they send. Sponsors must show both their own and DOEA’s commitment to change if they expect employees throughout the organization to become engaged.

10. Are sponsors avoiding the “flavor of the month” syndrome? “Flavor of the month” describes a situation where leadership is constantly introducing and abandoning initiatives. When this occurs, it creates a difficult background for creating meaningful change. Sponsors are responsible for launching new initiatives and ensuring that the projects are not just the next “flavor.”

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Appendix E: Primary Sponsor Competency Assessment