Organizational Change Management Plan by miv12499

VIEWS: 222 PAGES: 39

									VoteCal Statewide Voter Registration System
RFP SOS 0890-46


State of California
Secretary of State (SOS)

Organizational Change Management Plan
January 29, 2009
Document Version: 1.2
Disposition: Final Proposal



Submitted By:
Catalyst Consulting Group
211 West Wacker Drive
Suite 450
Chicago, IL 60606
RFP SOS 0890-46
Catalyst Consulting Group
Vol. I, Sec. 4, Tab 4N
Organizational Change Management Plan




Authors
This document was prepared by
Catalyst Team Member:
BearingPoint, Inc.
3017 Douglas Boulevard.
Suite 300
Roseville, CA 95661


   Date             Document                   Document Revision    Document Author
                     Version                      Description
6/3/2008      1.0                       Initial Draft              Mary Beth McGrath
10/27/08      1.1                       Revised Draft              Mary Beth McGrath
01/29/2009    1.2                       Final Proposal             Teresa Adams


Approval            Approved                      Approver Role         Approver
  Date               Version




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Table of Contents
1. INTRODUCTION ....................................................................................................... 5
   1.1.      PURPOSE AND OBJECTIVES ............................................................................... 6
   1.2.      SCOPE ...................................................................................................... 7
   1.3.      COMPLIANCE WITH RFP REQUIREMENTS................................................................ 8
   1.4.      ASSUMPTIONS ............................................................................................. 9
   1.5.      REFERENCES ............................................................................................... 9
   1.6.      INTENDED AUDIENCE AND DOCUMENT USE ............................................................ 9
   1.7.      DOCUMENT CONTROL ....................................................................................10

2 APPROACH ............................................................................................................11
3 ORGANIZATIONAL CHANGE MANAGEMENT STRATEGY BY PROJECT PHASE ....................................14
   3.1       PHASE 0 & PHASE I – PROJECT INITIATION AND PLANNING ........................................14
   3.2       PHASE II – DESIGN ......................................................................................14
   3.3       PHASE III – DEVELOPMENT AND PHASE IV – TESTING ..............................................15
   3.4       PHASE V – PILOT DEPLOYMENT AND TESTING AND PHASE VI – DEPLOYMENT AND CUTOVER ..15
   3.5       PHASE VII – MAINTENANCE AND OPERATIONS AND CLOSEOUT ....................................16

4 APPROACH TO ASSESSING VOTECAL PROJECT SPECIFIC NEEDS AND CHALLENGES .........................17
   4.1       ASSESS AND MONITOR ORGANIZATIONAL RISKS .....................................................17
   4.2       MOBILIZE AND ALIGN SOS LEADERSHIP ..............................................................18

5 APPROACH TO PREPARING SOS STAFF AND VOTECAL USERS FOR THE NEW BUSINESS PROCESSES......20
6 COMMUNICATIONS APPROACH .....................................................................................22
   6.1       STRATEGIC GUIDING PRINCIPLES ......................................................................23
   6.2       STAKEHOLDER ANALYSIS ................................................................................24
   6.3       COMMUNICATION ENVIRONMENT .......................................................................25

7 DESIGNING COMMUNICATIONS MATERIALS AND TOOLS ........................................................30
8 BUILDING COMMUNICATIONS AND MARKETING STRATEGIES ...................................................30
9 APPROACH TO MONITORING THE EFFECTIVENESS OF CHANGE MANAGEMENT ACTIVITIES ..................34
10 PROPOSED OCM ROLES AND RESPONSIBILITIES FOR VOTECAL PROJECT TEAM .............................35




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Table of Exhibits
Table 4N-1: RFP Section VI Requirements/Response Mapping......................................... 8
Table 4N-2: Assumptions to the OCM Strategy ............................................................. 9
Table 4N-3: Potential Risks and Mitigation Strategies .................................................. 11
Table 4N-4: Assessing Risk and Readiness Increases Probability of Success................... 17
Table 4N-5: Senior Leadership Must Pursue a Strongly Focused Direction....................... 18
Table 4N-6: Preparing and Equipping the Workforce Enhances Employees’ Understanding of
VoteCal Impacts to Their Jobs.................................................................................. 21
Figure 4N-7: Communications Planning Process.......................................................... 23
Table 4N-8: Sample VoteCal Stakeholders ................................................................. 24
Table 4N-9: Sample Communications Environnent Survey ........................................... 26
Table 4N-10: Preliminary Project Communications Planning Matrix ................................ 28
Figure 4N-11: Sample Communications Tools............................................................. 30
Table 4N-12: Engaging and Communicating with VoteCal Stakeholders Provides Avenues for
Understanding, Involvement and Feedback—Fostering Broad Commitment..................... 32
Exhibit 4N-13: Change Management Activities Build Upon Each Other ........................... 34
Table 4N-14: Change Management Monitoring Tools and Metrics .................................. 34
Table 4N-15: Organizational Change Management Roles.............................................. 35
Table 4N-16: SOS Organizational Change Management Skill Sets ................................. 37




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1.        Introduction
The VoteCal Project will provide the California Office of the Secretary of State (SOS) with a
single, centralized voter registration database that will meet Help America Vote Act 2002
(HAVA) requirements. Additionally, SOS has identified strategic benefits that can potentially
be achieved through implementation of the VoteCal solution. They are:
     Reduce statewide costs for system support
     Provide flexibility to implement legal and business improvements
     Improve timeliness, accuracy and availability of data and reports for statewide use


Our view is that organizational change management (OCM) is a systematic approach to
addressing the people related risks and issues of a transformation initiative. Based on our
experience, we have identified several key success factors which are crucial to a successful
transformation initiative:
     Establish leadership agreements on initiative direction and issues
     Leverage assets and strengths of individual leaders throughout the initiative
     Set expectations of leadership, division and county management and staff
     Promote understanding and acceptance through creative communications and
      promotional campaign activities
     Carefully understand workforce impact
     Deliver multi-channel training and development activities
     Develop “role-based” training - match future job roles to what employees need to know
      and do to be effective


Relative to other states, California’s HAVA implementation will present far fewer risks
associated with organizational change management than experienced elsewhere. SOS has
chosen to implement a bottom-up model, which by itself minimizes the changes required by
county elections offices. The effects that HAVA compliance will have on the State are
further lessened by the business model SOS implemented nearly ten (10) years ago under
CalVoter I. The current CalVoter I system implements a bottom-up model that is
conceptually similar to what will be implemented for VoteCal. The business model
similarities between CalVoter and VoteCal indicate that there will be less pending change
had CalVoter I not preceded VoteCal. In summary, we envision the change required under
VoteCal to be very manageable.
While the similarities in business models will lesson issues resulting from change, there are
still a number of changes to key business process that will be required under VoteCal to
achieve HAVA compliance. These items include:
     Processing new registrations (new rules/procedures)
     Performing real-time duplicate checking statewide
     Using state determined voter’s eligibility and status


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     Using the state list for conducting elections
     Processing duplicates and transfers
     Adapting to system response time for both real-time and batch processes
     Using different user interfaces for existing processes
     Mailing house/ballot printing data changes
     Changing data distribution to outside users
     Managing users on the statewide system
     Checking petition management and candidate filing/voter validity


The changes required in these business processes will be used to initially guide and focus
the OCM effort. Upon project startup, we will review and refine these items with SOS staff
and adjust the draft OCM plan presented here as needed.
The Catalyst Team will assist SOS in conducting organizational change management
activities related to acceptance and transition to the VoteCal system by utilizing
BearingPoint’s demonstrated Organizational Change Management (OCM) Methodology. This
method is designed to plan and facilitate a smooth transition to the “to be” environment in
order to increase the probability of successful implementation. Grounded in sound
principles, our approach is action-oriented and deliverable-based. Our change management
activities wrap around and support critical program milestones and focus on promoting
successful implementation. Our change approach proactively identifies and addresses
organizational program risks, and is flexible in its application of our framework and tools.
Communicating across the State will require a varied approach that addresses the
capabilities of the current communication methods, integrates the overall objectives of the
Project and is appropriately phased over the life of the project. To be effective, the
Communications Plan must provide a strategic and practical approach for positioning the
Project in the minds of leaders, users and employees alike by:
     Sharing information and creating awareness of the VoteCal Project and its benefits,
      importance and priority;
     Creating interest in, and energy around, participating in the transition to new business
      processes;
     Creating confidence that the Project will be marked by open communication and
      knowledge sharing; and
     Sustaining interest in the Project throughout the lifecycle of the project.



      1.1.    Purpose and Objectives

The primary intent and scope of this document is to guide the actions and activities of the
organizational change management team. The Organizational Change Management Plan will
also facilitate knowledge transfer of change management methods and tools to the VoteCal
project team and other individuals interested in the overall organizational change
management process. Finally, the Organizational Change Management and Communications



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Plan will help SOS prepare for the organizational change management activities and
processes that will require their input and involvement.
We recognize that communications will require a varied approach that incorporates face-to-
face meetings as well as print and electronic communications. Our objective is to use the
right communications mode for the right audience. This section addresses stakeholder and
end user communications. Please see Project Management Plan – Section 9:
Communications Management
To effectively communicate about and promote the project will require a unified
communication approach that combines high-level strategic communication principles,
tactical project-related communications and concurrence around the key message themes.
The tactical objectives for communicating to employees and customers about the Project
include:
     Include a feedback mechanism at every live event
     Leverage all existing Client communication vehicles
     Plan events very carefully using event planning checklists
     Use Project Mailbox in Outlook to collect questions and feedback about Project
     Keep distribution lists short
     Use on-site resources to handle logistics for live events – provide them with detailed
      instructions and support. This will lower our costs to plan and execute live events.
     Use technology whenever possible to keep costs down (e.g., NetMeeting and
      teleconferencing)
     Encourage employees to use the project website as a pertinent source of project
      information
     Avoid emails and other forms of mass communication


The Organizational Change Management Plan will achieve its primary goals by 1)
documenting at a high-level the key change management planning efforts, execution
processes, and activities that are included in the VoteCal project organizational change
management approach and 2) articulating the reasoning behind the various change
management activities necessary to successfully implement the VoteCal System in SOS.

      1.2.    Scope

The Organizational Change Management (OCM) Plan is a high-level (strategy) document
that captures the approach to organizational change management for the VoteCal project.
The document will describe the key deliverables and supporting work products within the
five organizational change management work streams: Risk and Readiness Management,
Leadership Mobilization and Alignment, Stakeholder Engagement and Communication,
Workforce Preparation, and Organizational and Policy Impact Management. In addition, the
document will describe the reasoning for the approach and the subsequent activities and
processes associated with the five work streams.
The OCM team will provide the appropriate level of communications for the VoteCal Project’s
stakeholders, who include: VoteCal Steering Committee, Working Groups, PMO, SOS project
team, Project subject matter experts (SMEs) and County election systems divisions.


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  Through a broad-based communications campaign, the communications vehicles and
  messages will educate and inform users and customers of the voter registration system
  about the VoteCal Project. County election staff, external stakeholders and partner
  agencies will participate in one or more interactive events. In addition, the VoteCal Project
  will communicate to SOS staff and management, and local county election staff via
  executive communications, newsletters and intranet, as described later in this document.



        1.3.     Compliance with RFP Requirements

                   Table 4N-1: RFP Section VI Requirements/Response Mapping
Req                     Requirement Description                                   RFP Section                    Page #
 #
P16       The Bidder must provide a draft Organizational Change        1 Introduction                            1
          Management Plan, which includes a detailed discussion
          of their business change communication strategy.             2 Approach                                7
                                                                       3 Organizational Change                   10
                                                                       Management Strategy By Project
                                                                       Phase
                                                                       6 Communications Approach                 18
                                                                       7 Designing Communications                25
                                                                       Materials and Tools
                                                                       8 Building Communications and             25
                                                                       Marketing Strategies
                                                                       9 Approach to Monitoring the
                                                                       Effectiveness of Change                   28
                                                                       Management Activities
                                                                       10 Proposed OCM Roles and                 30
                                                                       Responsibilities for VoteCal Project
                                                                       Team
P16       The Bidder’s approach must address how the project will      Table 4N-3 Potential Risks and            8
          convey to all users and customers the new methods of         Mitigation Strategies
          doing business, roles and responsibilities, and common
          issues to be anticipated and mitigation scenarios in a       4 Approach to Assessing VoteCal
                                                                       Project Specific Needs and                12
          project of this size and complexity.
                                                                       Challenges
                                                                       5 Approach to Preparing SOS Staff         16
                                                                       and VoteCal Users for the New
                                                                       Business Processes
                                                                       9 Approach to Monitoring the              28
                                                                       Effectiveness of Change
                                                                       Management Activities
P16       It is expected this strategy will address securing support   4 Approach to Assessing VoteCal           12
          and buy-in from the county users as well as SOS staff.       Project Specific Needs and
                                                                       Challenges
                                                                       6 Communications Approach                 18
                                                                       9 Approach to Monitoring the              28
                                                                       Effectiveness of Change
                                                                       Management Activities




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      1.4.    Assumptions

The VoteCal Organizational Change Management Team consists of Catalyst Team resources
and key personnel from the State of California. The Catalyst Team considers certain
assumptions as true and as drivers to a successful VoteCal implementation. Table 4N-2
below documents the assumptions that are associated with the OCM Approach and its
application to the VoteCal Project.

                          Table 4N-2: Assumptions to the OCM Strategy
                                            OCM Plan Assumptions
In the event that the State VoteCal Project Team cannot achieve its resource responsibilities to meet the
timetable for delivery of OCM- or training-related work, the Catalyst Team and the State VoteCal Project
Team will handle each situation on a case-by-case basis.
The Catalyst Team will work collaboratively with the State OCM Team Lead and Work stream Leads to
gain timely access to project stakeholders and leaders to acquire needed information and data or carry
out other proposed OCM activities. These leaders and stakeholders include—but are not limited to—SOS
leadership and staff, County Elections staff and management, external stakeholders, partner agencies,
and customers.
The State VoteCal Project Team executive sponsors and leadership are committed to the success of the
proposed VoteCal Statewide Voter Registration System at the project startup and are willing to take
action for its success.
The VoteCal OCM members will follow established processes as outlined in the Roles and
Responsibilities.
A strong network of communications liaisons is established and utilized throughout SOS and counties.
Credible State personnel will deliver information, supported by professionally developed communications
collateral materials.
The Catalyst VoteCal Project Team will be responsible for duplication costs related to OCM and training
events and activities, including training materials.
At the onset of the project, the SOS and Catalyst team will define the approval process for
project deliverables, including communications messages and materials.

The State VoteCal Project Team and Catalyst VoteCal Project Team will be jointly responsible for
executing/implementing all OCM strategies, plans, activities, and tasks developed by OCM Team.
Communications discussed in this section refer to stakeholder and end user communications. Project
communications are addressed in the Project Management Plan.



      1.5.    References

No external references were utilized in the creation of this document.

      1.6.    Intended Audience and Document Use

Organizational Change Management addresses “people-related” risks to an initiative. If
these types of people-related risks are left unaddressed, they can threaten the success of a
system implementation. When people-related issues are addressed, an initiative, such as
the SOS VoteCal project, can expect some of the following benefits:
     Leadership actively participating in activities to build awareness among stakeholders



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     Leadership that is aligned and committed to the initiative―speaking from one voice and
      not mixing messages
     Stakeholders who are aware and committed to the changes that will result from the
      initiative
     Communications that reach all stakeholders and address all stakeholder issues and
      concerns
     Leaders and stakeholders who are engaged in the initiative and participating in Blue
      Print sessions, stakeholder meetings, and other activities where their input is needed
     Future roles and duties that appropriately reflect new business processes
     Just-in-time training that is available to appropriate stakeholders
     Training that appropriately reflects new business processes not just system changes
     Policies, procedures, and strategies that are aligned and supportive of the new system
      rather than acting as roadblocks to the advantages of the initiative
     Organizational models and structures that reflect the new business processes and other
      changes as a result of the implementation

      1.7.    Document Control

The SOS Project Manager approves the Organizational Change Management Plan for use
among members of the overall VoteCal project team, including the organizational change
management team and the VoteCal project deployment support team. The Organizational
Change Management Plan is intended to be a living document and will be updated as the
VoteCal Project initiative continues and will be reviewed monthly, or as necessary, to reflect
changes in scope or timeline. Leading practices in communications, change management
and workforce transition methodologies will be included, as well as information derived from
discussions with Project PMO members, Project Change Management Team members and
select leaders and key stakeholders.




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2       Approach
The key focus of organizational change management (OCM) activities is to reduce the
inherent people-related risks related to the project and, thereby, promote the successful
adoption and use of the new proposed VoteCal system. Organizational change management
strategies, plans, activities, and tasks for the proposed solution are designed to 1) align
SOS, county-level elections, and EMS vendors and other key stakeholders around a
common project vision, 2) create training and knowledge transfer programs, 3) develop a
comprehensive communications and marketing program that involves users and
stakeholders across the State, and 4) build an effective workforce transition program and
continually assess and address the State’s readiness for change. Organizational change
management activities are highly dependent on the business process, technical, test and
deployment activities. The Catalyst Team will collaborate and participate with the SOS
Project Team, Project Managers, and Working Groups throughout the project life cycle to
develop and implement effective change across the State’s election community.
Our team will apply a disciplined approach to the project through our experiences with
transitioning state and county staff and BearingPoint’s Delivery Framework that significantly
reduces the delivery risk for this project.
The Catalyst Team has reviewed the unique needs of the State of California Secretary of
State (SOS) VoteCal Statewide Voter Registration System project and proposes a solution
based on:
      Our methodology, as it applies to your needs;
      Our experience working at the county level with elections management systems since
       the early 1980s; and
      Our ability to have helped more than 60 counties in California, Arizona, Portland Oregon,
       Washington, and Illinois transition to a new EMS environment.
As with any project, there are potential risks that must be considered and mitigated to
promote overall project success. From our experience, we know that strong program
management, a realistic project plan, quality personnel, a proactive quality management
program, and established delivery methodologies and tools will address most risks
associated with the VoteCal Statewide Voter Registration effort. Potential risks that SOS
may encounter during the project and The Catalyst Team’s mitigation strategies are listed in
Table 4N-3.

                         Table 4N-3: Potential Risks and Mitigation Strategies
                Risks                                             Mitigation Strategies
    Unresolved project conflicts,        Leverage individual leaders and their strengths throughout the VoteCal
    particularly across                   project life cycle, particularly in timely issue resolution.
    organizational silos
    Automating processes,                Identify and begin to address people risks from the outset. Develop training
    centralizing voter registration       and workforce deployment strategies early enough to confirm readiness.
    information




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             Risks                                       Mitigation Strategies
Too much, too little            Develop and adhere to a formal communications plan that is agreed on by
communication                    the project stakeholders.
                                Deliver important, relevant and consistent messages through appropriate
                                 communications channels.
                                Emphasize stakeholder events (for example, for county officers, managers,
                                 supervisors, and other end users) to drive awareness, understanding, and
                                 competence.
Decisions taking too long       Escalate critical decisions through the formal escalation path, and ultimately
                                 to the Steering Committee, if necessary. Drive agreement on governance
                                 among leaders (for example, SOS management, working groups, and other
                                 key stakeholders) early on.
Failure to understand the       Perform organizational risk and readiness assessment to analyze,
impact of change                 understand, and mitigate project risks.
                                Drive early agreement among key stakeholders on the critical aspects of the
                                 implementation process and build their commitment and sponsorship.
                                 Provide tools to the resources responsible for driving change across
                                 counties.
                                Leverage individual leaders and their strengths to promote understanding
                                 and acceptance of the VoteCal initiative.
Lack of visible sponsor         Empower the VoteCal Steering Committee with the authority and
participation                    responsibility to enable the project to succeed.
Lack of alignment between       Clearly communicate the project’s objectives, scope, and purpose at the
project and county goals         onset of the project. The message should come directly from the VoteCal
                                 Steering Committee. Review individual metrics and modify these metrics as
                                 needed to align project and county goals.
Shifting scope                  Develop a formal change request process where a large level of effort or
                                 scope-affecting changes must be substantiated and formally approved by the
                                 Steering Committee.
Lack of integration             Focus on stakeholder involvement, understanding, and competence, not on
                                 changing the culture. Perform a thorough and comprehensive design phase
                                 to identify and plan for integration issues.
Constrained resources           Develop a project plan that clearly outlines the expected tasks and balances
                                 the required resources across activities, thereby minimizing the impact to
                                 SOS and county workforce.
Lack of critical skills      Project Team
                                Verify that SOS Project Team members have the skills required to perform
                                 the work.
                                Dedicate personnel to the project so that knowledge can be transferred on a
                                 daily, working basis with contractors.
                             End Users
                                Prepare and equip those affected in SOS and the public (applicants) to be
                                 effective on the new technical and operating environment.




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            Risks                                          Mitigation Strategies
 Implementing business             Identify and begin to address people risks from the outset. Develop
 process changes, such as:          workforce deployment strategies that include outreach events early enough
    Processing new                 to confirm readiness.
     registrations (new            Develop role-based, robust training for end-users.
     rules/procedures)
    Performing real-time
     duplicate checking
     statewide
    Using state determined
     voter’s eligibility and
     status
    Using the state list for
     conducting elections
    Processing duplicates
     and transfers
    Adapting to system
     response time for both
     real-time and batch
     processes
    Using different user
     interfaces for existing
     processes
    Mailing house/ballot
     printing data changes
    Changing data
     distribution to outside
     users
    Managing users on the
     statewide system
    Checking petition
     management and
     candidate filing/voter
     validity



The mission of the OCM effort is to reduce program risk and, thereby, increase the
probability of successfully implementing the VoteCal initiative. The Catalyst Team views the
OCM Plan as an integral part of the entire project, not a standalone initiative.

Our proposed OCM Plan is designed to assess organizational risks around the VoteCal effort,
identify new business processes and resulting workforce and organizational impacts,
develop clear and timely communications to project stakeholders, and determine the change
readiness of the workplace and workforce. It provides for an end user training program
focused on giving end users the knowledge of the new business procedures and system
transactions they need to perform their new or changed job tasks.

After the VoteCal Project commences, our OCM Team will seek validation and approval for
proposed Organizational Change Management Plan activities from the VoteCal Project
leadership. We will then work collaboratively with selected SOS resources and VoteCal team
members to conduct the activities in the most cost-effective and timely manner.




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3     Organizational Change Management Strategy by Project Phase

3.1    Phase 0 & Phase I – Project Initiation and Planning

During this initial phase, organizational change management activities will center on
developing early communications to announce the startup of the project activities. An
analysis of stakeholders and the current communications environment is conducted to
determine key groups and individuals across the State that can affect or are affected by the
proposed VoteCal solution and to identify the appropriate means to communicate with them
throughout the project’s life cycle. We will also conduct an initial organizational risk and
readiness assessment, which will provide the foundation for change management planning
and activities. For example, during this phase, the risk and readiness assessment will be a
valuable contribution to the design and development of the communications plan, county
deployment support plans, and the organizational change management strategy, which
describes how the various stakeholder groups will be engaged and involved throughout the
project. To promote alignment and active support among key county and other executive-
level leaders and staff, we will also meet with individual leaders who are influential to
develop the leadership strategy for the project.
Phase I concludes with the Organizational Kickoff meeting. The audience for this meeting
includes the SOS Project Team, any other key users, the VoteCal Steering Committee,
Project Sponsors, and any other resources from SOS that are significantly impacted by the
project. The objectives for the Organizational Kickoff are to communicate project timelines,
scope, approach, and critical success factors and to introduce the key individuals in the
organization to the project.
The Organizational Kickoff meeting is one of the most critical components of a successful
change management program. This meeting provides an ideal setting for the executive
sponsors from SOS to communicate their support and commitment to the project while
highlighting the importance of the project to the overall objectives of the organization.

3.2     Phase II – Design

Imperative throughout the entire process of designing future-state processes is the
participation and acceptance of end users and other affected stakeholders. For this reason,
organizational change management will play a critical role in process design activities during
this phase—for example, helping to identify attendees and subject matter specialists for
process flow sessions, promoting active participation in process flow and information
gathering sessions, and often helping facilitate these sessions. Any process design solutions
and upcoming changes will also be communicated, such as through live communication
forums, which promote open and honest two-way dialogues (for example,
awareness/feedback events, validation/commitment events, system demos, and Q&A
sessions). Our communications activities during this phase shift toward mounting a
promotional campaign to build awareness and widespread acceptance of the new technology
and processes across the State. This communications and marketing campaign combines
print and electronic media with live, interactive events. For example, specialized awareness
events conducted with employees and staff, or town hall meetings with bargaining units, are
designed to promote the project, convey the new ways of working, and elicit feedback to
monitor the progress of the change effort.
After completion of the future-state business process design and requirements, an
organizational impact assessment and training needs assessment will be conducted to
understand and plan for the impacts of the new processes on individual roles,
responsibilities, skills, and the SOS organization. With this understanding of job and


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organizational impacts, we develop a strategy and plan to accommodate the successful
transition of the workforce to the new job roles. We also develop a preliminary training
approach to prepare and equip user communities across the State with requisite knowledge
and competencies for using the new software effectively. A more detailed discussion of our
training approach may be found in section 4.1.4 Training and in the draft Training Plan
found in Volume I – Tab 4J. During this phase, we will also initiate county deployment
support activities to assist with organizational change management activities at the local
agency level, for example, communications, training, workforce transition, and other
deployment cutover activities. Leadership action planning is also initiated to leverage
personal strengths and assets of individual leaders to promote the project. Additional
ongoing activities during this phase include reviewing and refining the risk and readiness
assessments.

3.3    Phase III – Development and Phase IV – Testing

Organizational change management activities during this phase will focus on maintaining
the strategies and programs created during the earlier phases, for example, the leadership
strategy, organizational change management strategy, and communications marketing
campaign. The joint SOS/Catalyst Project Team organizational change management team
members will continue to collaborate and participate in the ongoing assessment of
organizational risks, as well as to provide continued support for organizational transition,
county deployment support, and communication plan efforts. The ongoing assessments,
together with feedback gathered from interactive communication events, play a vital role in
monitoring the success of change management strategies, so that mid-course corrections
and modifications can be made as appropriate. Training materials and exercises for end
users will also be developed during this phase. For example, for each master course, we will
develop guides for SOS Project Team end-user trainers together with participant guides,
quick reference guides, and competency testing criteria.

3.4   Phase V – Pilot Deployment and Testing and Phase VI – Deployment and
Cutover

The focus of Organizational change management activities is on preparing SOS and county
elections managers and supervisors to lead their people through the transition, and on
deploying end-user training to equip the SOS workforce and other end users to bridge the
gap between their present level and the desired level of skills and behaviors for the new
VRDB and EIMS content. Prior to training, pre-go-live events will be held with managers and
supervisors to help them understand their roles in preparing their employees for training,
job changes, and other changes that will affect them. Training will be conducted via the
most appropriate delivery channels for end users across the State. Training logistics,
including facility setup, notifications to class attendees, and technical support, will be
finalized before training begins. Training will be evaluated on a daily basis and modifications
will be made if needed. SOS Project Team members and staff will provide support to the
end-user training effort during this phase.
Before the pilot implementation and subsequent deployment, specific organizational change
management and training activities are conducted to plan for go-live and beyond—including
assessing workforce and workplace readiness for deployment. A training evaluation
summary will also be presented to SOS project leadership as a learning metric and one of
the data points of overall go-live readiness. Any recommended changes based on feedback
from training evaluations and lessons learned report will be incorporated into future rollouts
to enhance their success.



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3.5    Phase VII – Maintenance and Operations and Closeout

During this phase, organizational change management activities center on conducting
closure activities, including post-implementation communications. Training support will also
be available to answer questions and provide ongoing guidance and coaching to assist SOS
Project Team end-user trainers up to 90 days post-go-live for each rollout.


Our Organizational Change Management Approach by project phase is depicted below.




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4     Approach to Assessing VoteCal Project Specific Needs and
      Challenges

4.1     Assess and Monitor Organizational Risks

To gain a clear understanding of the various issues and concerns that could impede effective
implementation of the VoteCal Project, it will be important to identify and plan for
organizational, workforce and customer risks from the project outset. Therefore, during
Phase I of the project, we will conduct a stakeholder analysis by holding a working session
with the VoteCal Project team or meeting individually with selected members of the team to
identify the interests, concerns, and anticipated reactions of key impacted individuals and
groups around the VoteCal effort. Selected key individuals will be interviewed, invited to
focus group sessions, or both. We will distill our findings to a set of five to seven underlying
risks to success and develop risk mitigation strategies. These are likely to include specific
actions for leaders to take, special events for specific stakeholders, tailored messaging that
addresses “hot button” concerns, and plans for resolving specific issues.
Our organizational change management approach assesses key organizational and people-
related risks, modifies the organizational change management plan based on these risks,
and regularly assesses business readiness prior to the transition. The organizational change
management lead will support the project management team in identifying organizational
risks and see to it that mitigation strategies are included in the overall project risk
management plan.
Our proposed work products, key activities, and associated benefits for assessing VoteCal
specific needs and challenges are presented in Table 4N.4.



      Table 4N-4: Assessing Risk and Readiness Increases Probability of Success
      Work             Description                     Key Activities                  Benefits              Project
    Products                                                                                                 Phase
Stakeholder         Identifies key people         Activity 1: Define               The interview          Phase I
Analysis             and groups throughout          framework for stakeholder         process is
                     organization who can           analysis                          informed
                     affect the success of         Activity 2: Conduct              The right people
                     the initiative and             stakeholder analysis              are engaged at
                     analyzes anticipated           session with select project       the earliest
                     expectations and               or program team members           opportunity
                     reactions to initiative.      Activity 3: Perform
                                                    additional analysis to ID
                                                    common themes and
                                                    prioritize
                                                   Activity 4: Develop
                                                    mitigation plan to address
                                                    stakeholder issues
Organizational      Consists of set of            Activity 1: Review results       Implementation-        Phase I
Risk                 interviews, focus              from stakeholder analysis         readiness          
Assessment           groups and/or surveys         Activity 2: Prepare and           related risks to
                     with stakeholders at           interview key stakeholders        project success
                     various organizational         throughout the organization       are identified
                     levels to identify             to identify organizational        early
                     potential “people-             risks                            Risk mitigation
                     related” issues that          Activity 3: Prepare and           actions are put


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                        could thwart or impair              conduct other                        in place
                        the successful                      workshops/surveys to                Hurdles and
                        implementation of                   identify project team and            obstacles to
                        initiative.                         key stakeholder                      project success
                        Recommends risk                     expectations                         are avoided or
                        mitigation actions.                Activity 4: Analyze and              minimized
                       The results of the                  prioritize findings into main       Foundational
                        Organizational Risk                 themes                               agreement on
                        Assessment are                     Activity 5: Identify targeted        the risk
                        typically presented in a            risk mitigation actions              mitigation
                        facilitated feedback               Activity 6: Communicate              approach is
                        session with top                    findings to key leaders and          achieved
                        leaders, as input to the            project teams
                        final Leadership
                        Strategy.
                        Organizational risk
                        issues are also
                        captured and tracked
                        as part of the
                        Risk/Issue
                        Management and
                        Change Control
                        process.



4.2    Mobilize and Align SOS Leadership

A leadership team that remains actively engaged, accountable, and visible throughout an
initiative can be the most valuable asset to the project’s success. To accomplish this goal,
we will conduct a series of interviews and workshops early on with the SOS leadership
team. We will work with SOS leaders to establish agreements on project direction; resolve
important issues; and leverage their collective influence, status, and experience. The set of
agreements forged in those meetings will serve as the basis for a leadership strategy for
governing the project, defining roles and accountabilities, making decisions, securing
support and buy-in, and resolving issues. We will develop individual leadership action plans
for selected leaders that will define their unique project roles and set out a few key tasks to
leverage their strengths, influence, and impact on the organization.
Our proposed work products, key activities, and associated benefits for mobilizing and
aligning SOS leadership are presented in Table 4N.5.



      Table 4N-5: Senior Leadership Must Pursue a Strongly Focused Direction
    Work                   Description                     Key Activities                   Benefits                  Project
  Products                                                                                                            Phase
Leadership               Consists of series              Activity 1: Prepare         Identifies and builds         Phase I
Strategy                  of structured                    and meet with Key            agreement among
                          conversations with               Executives and               initiative's top
                          Key Executive and                other senior leaders         leadership team on
                          top team,                       Activity 2: Prepare          critical aspects of
                          concluding in a                  and design the               program, major
                          session to build                 Leadership Strategy          challenges to be
                          guiding coalition for            Workshop                     addressed, and
                          initiative. Includes            Activity 3: Conduct          leadership
                          feedback from                    the Leadership               requirements
                          Organizational Risk              Strategy Workshop            needed to increase
                          Assessment to                   Activity 4: Develop          probability of


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                      focus attention on         recommended                  successful
                      critical challenges        leadership strategy          implementation
                      and mitigation             to address risks            A clear leadership
                      strategies.                                             strategy for the
                                                                              project is developed
                                                                              and expressed as
                                                                              concrete actions
                                                                              leaders will take
Leadership           A workshop to             Activity 1: Prepare         Aligned leadership            Phase I
Validation &          develop key                and design the              Clearly defined
Alignment             agreements among           Leadership                   decision-making
Workshop              leaders on the             Validation &                 strategy
                      decision-making            Alignment Workshop          Clarity on roles and
                      strategy for the          Activity 2: Conduct          responsibilities
                      project and plans to       the Leadership
                      mitigate risks             Validation &
                                                 Alignment Workshop
                                                Activity 3: Analyze
                                                 process,
                                                 organizational, and
                                                 people-related risks
                                                 associated with the
                                                 implementation
Organizational       Provides detailed         Activity 1: Establish       Provides an agreed-           Phase II
Change                road map of                and launch OCM               upon roadmap for
Management            change activities          Team                         executing change
Plan                  depicting how key         Activity 2: Define           management
                      stakeholders need          change                       activities throughout
                      to work together           management                   the project
                      during initiative.         activities and
                     Operationalizes the        resources required
                      decision-making,           to perform those
                      problem solving            activities throughout
                      and employee               the project lifecycle
                      involvement               Activity 3: Define
                      strategies, as             change
                      agreed upon in the         management roles
                      Leadership                 and responsibilities
                      Strategy, needed to        and
                      maximize the               interdependencies
                      probability of             with other work
                      successful                 streams (e.g.
                      implementation.            functional, technical,
                                                 deployment)
                                                Activity 4: Outline
                                                 specific business
                                                 processes that may
                                                 change
                                                Activity 5: Define
                                                 activities necessary
                                                 to facilitate
                                                 acceptance of and
                                                 changes to business
                                                 processes
                                                Activity 6: Determine
                                                 timeline of change
                                                 management
                                                 activities
Leadership           Provides a                Activity 1: Scope the       Leaders at all levels         Phase II
Action Plans          structured                 extent of need and           make successful
                      approach to                plan the effort              implementation a


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                      Executive                Activity 2: Contract     priority
                      Coaching that             with leadership
                      results in one-on-        group
                      one action planning      Activity 3: Meet
                      contracts with            individual leaders to
                      leaders of the            develop action plans
                      initiative. Helps         to visibly support the
                      individual leaders        project
                      leverage personal        Activity 4: Monitor
                      strengths on behalf       results and coach
                      of initiative.            individual leaders



5   Approach to Preparing SOS Staff and VoteCal Users for the New
    Business Processes
Successful implementation will require that the SOS and county elections staff be prepared
and equipped with the requisite skills and competencies to effectively perform their new
roles on day one of the VoteCal effort. This will include various communications activities
and live events previously described, such as go-live prep events that prepare supervisors
to discuss new job roles and associated processes with their employees and what they must
do to support the new ways of doing business. These workshops enhance the personal
commitment of individual members of the organization and result in employee action plans
for making the change work.
To effectively prepare for the new VoteCal environment, we also must understand workforce
impacts and address job requirements. Once the Design phase is complete and business
processes have been defined, the functional teams will begin to define VoteCal user roles. A
user role is a collection of system transactions used to carry out a specific piece of one or
more business processes; they are not equivalent to employee job titles/job descriptions.
The OCM team will work with the functional team to develop a set of role requirements for
each user role. The role requirements lay out the responsibilities, required knowledge, skills
and abilities, associated business processes and the training pre-requisites, both system
and functional, for each person or job assigned this role.
These user roles are based on the new business processes and will be assigned to jobs
and/or SOS and county elections individual employees who will be working in the new
environment and on the new system. A job and/or employee can have more than one user
role. These role requirements will be developed in the Build phase and will be reviewed and
updated as system configuration is completed. User roles are an important element in
developing the training curriculum (see Tab 4J - Draft Training Plan for further details) and
ensuring that the right people attend the right courses prior to Go Live.
After completion of the future-state design and requirements, a Workforce Preparation Plan
will be developed, which will focus on the need to modify or design user roles and to
establish mechanisms to match State employees to realigned roles—making certain that
performance improvements are sustained and will lead to continued performance gains. This
phased approach will focus on organizational and individual transitions with the support of
the Training Plan. This plan will include curriculum, materials development, delivery, and a
post-training evaluation report.
Our proposed work products, key activities, and associated benefits for Preparing SOS staff
and County Users for the New Methods of Business are presented in Table 4N-6.




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     Table 4N-6: Preparing and Equipping the Workforce Enhances Employees’
                 Understanding of VoteCal Impacts to Their Jobs
    Work              Description                Key Activities                    Benefits                 Project
  Products                                                                                                  Phase
Workforce          Provides assessment         Activity 1: Baseline          Provides leadership          Phases
Preparation         of how initiative will       the current                    with understanding           III & IV
Plan                impact employees.            organizational                 of impact initiative
                    Assesses how                 structure and                  will have on people
                    employees may be             determine how                  and programs within
                    impacted in terms of         current processes              organization
                    process changes, new/        and practices support         Impacts to people’s
                    changed technology or        or hinder                      jobs identified and
                    organizational               achievement of                 addressed
                    changes.                     VoteCal future                SOS staff and
                                                 business objectives            county employees
                                                Activity 2: Work with          understand impacts
                                                 stakeholders to                to their jobs
                                                 identify impacts on           Structured transition
                                                 processes,                     plans that detail
                                                 organizational                 “who must do what”
                                                 structures, roles and          prior to go-live
                                                 responsibilities, job
                                                 alignments, staffing
                                                 numbers, and training
                                                 requirements
                                                Activity 3: Develop
                                                 strategies to transition
                                                 workforce to new
                                                 methods of business
Job Design /       Outlines the skills,        Activity 1: Define            Provides a              
Role Mapping        knowledge and                approach and                   communication tool          Phases
                    abilities needed to          communications                 for managers and             III & IV
                    achieve VoteCal              requirements                   supervisors to
                    business objectives.        Activity 2: Review To          discuss with
                   Addresses role               Be business                    employees new or
                    requirements of the          processes and                  changed business
                    new system and is            associated system              processes and role-
                    then used to                 roles                          based training
                    communicate to              Activity 3: Define             requirements to
                    employees how they           knowledge, skills and          achieve
                    interact with the            abilities requirements         understanding and
                    system and processes,       Activity 4: Match              commitment among
                    to assist with role          State employees to             employees on their
                    based training efforts       VoteCal system roles           interaction with the
                    and to define               Activity 5: Provide            new system and
                    application security.        role mapping to                processes.
                                                 Training Team
Training           Provides tactical plan      Activity 1: Analyze the       Enable user                 Phases
Program             to determine how             training needs of              populations to               III, IV,
                    training will be             VoteCal end users              effectively navigate         V, VI,
                    developed and               Activity 2: Identify and       the new elections            and VII
                    delivered, when,             tailor approaches to           and voter
                    where, and by whom.          be used in developing          registration system
                    Training content             and delivering                 and processes.
                    outlines will be             required training             Our training


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                       provided to enable           Activity 3: Create        approach is
                       employees to learn            tactical training plan    designed to provide
                       skills, technologies,         and develop training      VoteCal trainers and
Note: See Tab          and processes needed          content outlines to       technical staff with
   4J for more         to bridge competency          help user learn new       the competency and
   detailed            gaps required.                skills, technologies,     necessary support to
   information        Encompasses process           and processes.            operate and
   on Training         of creating courseware       Activity 4: Create        maintain the new
                       and developing                VoteCal project           system.
                       training and                  courseware and
                       communication                 develop training
                       materials, e.g., tools,       courses.
                       manuals, training            Activity 5: Select core
                       database, case                set of trainers for
                       studies, instructor           instructor led
                       guides, and exercises         classroom delivery
                       as well as preparing          and train-the-trainer
                       trainers for instructor      Activity 6: Begin
                       led classroom delivery        knowledge transfer of
                       and train the trainer.        new VoteCal project-
                                                     related content to
                                                     SOS
                                                    Activity 7: Conduct
                                                     train-the-trainer
                                                     session
                                                    Activity 8: Conduct
                                                     end user training
                                                     sessions




6      Communications Approach
There are five distinct phases to the Stakeholder and End User Communications Plan:
     Project Start-Up Communications – A set of communications that creates general
      project awareness at the beginning of the project and begins to establish a consistent
      set of key messages
     Discovery – The process of understanding the organization, its existing communications
      processes, and key stakeholders through a series of interviews and facilitated group
      workshops
     Branding – The activities associated with developing a brand identity for the entire
      program that resonates with stakeholders
     Communications Planning – A campaign strategically designed to market the program
      to stakeholders through creative branding and the delivery of core messages using both
      traditional and high tech media
     Evaluation – The process of measuring our effectiveness and refining our plan to reflect
      the feedback gathered


The diagram below illustrates the five phases of the Communications Planning Process.




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                         Figure 4N-7: Communications Planning Process




6.1       Strategic Guiding Principles

The strategic guiding principles for communicating to SOS and county election employees
about the Project include:


     Favor live events over written communications whenever possible – Nearly all of
      communication effectiveness comes from live events. We will supplement and reinforce
      live events with written communications (e.g. intranet, newsletters, etc.).
     Engage key leaders – Encourage the participation of the VoteCal Steering Committee,
      Working Groups and other critical leaders in the Project initiative to help build
      understanding of its benefits, importance and priority. Engaging key leaders helps
      employees understand that this is an important project to the State and lends credibility
      to the initiative.
     Provide targeted but consistent messaging – While particular communications to
      stakeholder groups should be tailored depending on position, interest and concerns, the
      general themes communicated about the Project should be consistent.
     Not too early, not too late; not too much, not too little – Appropriate and properly
      timed communications targeted at the right group will result in the greatest impact.
      Focus on newsworthy events, rather than communicating for the sake of communicating.
     Educate and create context – Communications should foster awareness,
      understanding and ownership at all levels.
     Leverage informal communications – Apply principles of networked organizations
      and applicable mediums of communication to the maximum extent possible. Each
      project-related event is an opportunity to communicate important aspects of the project
      to all employees and customers.
     Encourage and promote two-way communications - Always ask employees what
      they think and remember that employees want to have input. Regularly take the pulse
      of the organization and monitor progress over time.




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6.2      Stakeholder Analysis

The Stakeholder Analysis, previously described in section 4.1, provides an understanding of
groups of people that are impacted by, or who can impact, the VoteCal Project. This helps
determine what audience will require specific communication, training and organization
alignment. The following table provides an example of a high-level stakeholder analysis.
Once the project is initiated, a more detailed analysis will be performed.

                              Table 4N-8: Sample VoteCal Stakeholders
         Group                Importance to       Potential Impact of        Change         Locations      Approx.
                                 Project               Project             Management                      Number
                                Success                                       Goal
VoteCal Steering              Critical            Better enterprise      Ownership,
Committee                                          reporting              Leadership,
                                                   capabilities           Accountability
Provide strategic guidance                        Need to drive
to the project ; resolution                        potential
of issues escalated by the                         organizational
VoteCal Project Team;                              changes due to
provides resources for the                         process changes
project                                           Need to change
                                                   their organization’s
                                                   processes to meet
                                                   best practices
VoteCal Project Director      Critical            Accountability for     Ownership,       Project HQ
                                                   successful project     Leadership,
Provide day-to-day                                 implementation
guidance to the project                                                   Overall
                                                                          Accountability

SOS Staff and Managers        Critical            Need to support        Ownership,
                                                   their organization’s   Leadership &
Primary users of the                               processes to meet
system                                                                    Accountability
                                                   best practices
                                                  Need to drive
                                                   potential
                                                   organizational
                                                   changes due to
                                                   process changes
                                                  Time to focus on
                                                   Project while
                                                   continuing with
                                                   current job
                                                   responsibilities
County Elections Staff        Critical            Need to support        Buy-in,
and Managers                                       new processes to       Leadership,
                                                   meet best practices    Accountability
Primary users of the                              New processes and
system.                                            reporting
                                                   capabilities
Elections Management          Critical            Need to support
System Vendors                                     new process to
                                                   meet best practices
Vendors who maintain the                          Need to modify
county level EMSs across                           their EMS systems
each of California’s 58                            to provide data
counties                                           exchange capability
                                                   between each
                                                   county’s EMS and
                                                   VoteCal

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          Group               Importance to       Potential Impact of          Change        Locations     Approx.
                                 Project               Project               Management                    Number
                                Success                                         Goal
External Stakeholders         High                Interested in voter      Buy-in
                                                   registration
Legislature, judicial                              information
districts, state and local
governmental agencies
Partner Agencies              Critical            Exchange                 Buy-in,
                                                   information with         Accountability
DMV, CDPH, CDCR, SSA                               SOS related to
                                                   voter registrants
Customers                     Medium              Rely on county           Buy-in
                                                   elections officials to
Voter registrants and                              process their voter
certain entities who are                           registration
authorized by law to obtain                        affidavits quickly
voter registration data                            and accurately
                                                  Rely on the
                                                   accuracy and
                                                   timeliness of
                                                   current and historic
                                                   voter registration
                                                   information for
                                                   mailings,
                                                   redistricting, media
                                                   publications, and
                                                   academic studies
Subject Matter Experts        Critical            Accountability for       Ownership
(SMEs)                                             making changes
                                                   occur by
Guide the design and                               participating in
implementation                                     design workshops
of the Project                                    Time to focus on
                                                   Project while
                                                   continuing with
                                                   current job
                                                   responsibilities
                                                  Potential
                                                   organizational
                                                   changes




6.3       Communication Environment

An integral component of our Communication Plan is identifying how to best communicate
Project goals, objectives and accomplishments to employees, customers and key
stakeholders. SOS must clearly understand how to inform, educate and motivate employees
and customers across the state.
The Catalyst Team will begin by working with the SOS Project Team, Project Managers, and
senior executives to assess the State’s communications environment. This assessment will
determine the needs of specific stakeholder groups and the effectiveness of the existing
communications channels to communicate with each group. These stakeholders will include
the SOS Project Team, SOS and County elections divisions, partner agencies and external



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stakeholders. The table below illustrates the sample communications environment survey
that will be used. The first line for Alameda is filled in as an example.

                       Table 4N-9: Sample Communications Environnent Survey



                                     Communications Medium Survey
                     County          Email       Website   Newsletter       Face-to-    Manager /
                                                                             Face       Supervisor
1.          Alameda              X           X             X            X               X

2           Alpine

3           Amador

4           Butte

5           Calaveras

6           Colusa

7           Contra Costa

8           Del Norte

9           El Dorado

10          Fresno

11          Glenn

12          Humboldt

13          Imperial

14          Inyo

15          Kern

16          Kings

17          Lake

18          Lassen

19          Los Angeles

20          Madera

21          Marin

22          Mariposa

23          Mendocino

24          Merced

25          Modoc

26          Mono



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                                  Communications Medium Survey

27       Monterey

28       Napa

29       Nevada

30       Orange

31       Placer

32       Plumas

33       Riverside

34       Sacramento

35       San Benito

36       San Bernardino

37       San Diego

38       San Francisco

39       San Joaquin

40       San Luis Obispo

41       San Mateo

42       Santa Barbara

43       Santa Clara

44       Santa Cruz

45       Shasta

46       Sierra

47       Siskiyou

48       Solano

49       Sonoma

50       Stanislaus

51       Sutter

52       Tehama

53       Trinity

54       Tulare

55       Tuolumne

56       Ventura

57       Yolo



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                                  Communications Medium Survey

58       Yuba




Our preliminary communications approach begins with working closely with SOS project
management and VoteCal executive sponsors to develop start-up or launch communiqués.
These initial communications define the project, set out its objectives, identify what will
happen and when, introduce the key members of the Project Team, and describe how the
various communities will be engaged in the process.
Early communications planning primarily reinforces messages through formal
communications to key groups using a variety of media. The table below summarizes our
preliminary approach to communications planning for the VoteCal project.

            Table 4N-10: Preliminary Project Communications Planning Matrix
     Stakeholders          Content Types                   Media Types                  Frequency/Timing
Steering Committee      Status on the Project          Existing reporting            As scheduled; these
                        Status on high level            mechanisms and                 leaders will set the tone
                         risks and issues                existing meetings              for the project
                        Status on
                         communications
                         planned for VoteCal
                         Project Stakeholders
SOS Project             Project Management             Status Meetings               Weekly
Manager                  Details and Status             Status Milestone
                        Project data, schedule,         Reports
                         implementation risks,
                         implementation issues,
                         and implementation
                         tasks.
VoteCal Project         Project data,                  Work stream meetings,         Bi-Weekly; more often
Work Stream Leads        functionality, rationale,       awareness/validation           during critical milestones
                         project status,                 events, shared project
                         implementation timing,          work space, town hall
                         functional impact,              meetings, and e-mail
                         benefits, upcoming
                         events, and activities
VoteCal Project         Risk assessment                Existing meetings,            Weekly, often daily, and
Team                     results, project data,          shared project work            more often during critical
                         milestones, meetings,           space, e-mails, and            milestones
                         events, activities, and         project briefings
                         schedules
SOS Staff               Project data,                  Existing staff meetings,      Biweekly; more often as
                         functionality, rationale,       existing newsletters,          critical milestones near
                         functional impact, user         awareness/validation
                         impact, process impact,         events,
                         benefits, implementation        handouts/fliers/posters,
                         timing, training, user          mailers, promotions, e-
                         support, success stories,       mail, and internal web
                         upcoming events, and            site
                         activities




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 Organizational Change Management Plan



   Stakeholders            Content Types                    Media Types                  Frequency/Timing
SOS Technical            Risk assessment                Existing meetings,            Weekly, often daily, and
Organization              results, project data,          shared project work            more often during critical
                          milestones, meetings,           space, e-mails, and            milestones
                          events, activities, and         project briefings
                          schedules                      For selected individuals
                                                          a Personal Learning
                                                          Plan (see Tab 4J for
                                                          more detailed
                                                          information)
Public Participants      Project data,                  Handouts/fliers/posters,      Monthly; more often as
and Stakeholders          functionality, rationale,       mailers, promotions,           critical milestones near
                          functional impact, group        public website, and go-
                          impact, process impact,         live prep events
                          implementation timing,
                          upcoming events, and
                          activities



The stakeholder analysis, as well as the earlier communications assessment of the
environment, will lead to the development of a highly detailed communications matrix that
identifies specific dates, content, and media for each stakeholder segment.




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7      Designing Communications Materials and Tools
As the Catalyst Team understands more about specific internal and external stakeholder
groups impacted by the VoteCal project, their core concerns, and the risks to project
success, we will draft a communications toolkit. This toolkit is designed to aid SOS leaders
and County executive staff in communicating a consistent and compelling message about
the project to various audiences. These tools, templates, and materials can be internal or
external facing and will take the form of frequently asked questions (FAQs) with standard
answers, brochures and/or promotional presentation slides, event design materials such as
speaker notes and sample agendas, and feedback measurement tools.
A diagram of sample communications tools is depicted in Figure 4N-11 below.

                                                        Figure 4N-11: Sample Communications Tools



Sample Communication Tools

                                                                                              2002
                              Training Schedule Estimate
             Instructor Numbers Based On Users and Locations
                                                                                Manager                                 Manager Guide to Employee
                                                                                                                         Manager Guide to Employee
                                                                                & Supervisor
    Organization – Users        No.     No. Sessions*   No. Training Weeks **
                                                                                Toolkit
                                                                                                                             Action Planning
                                                                                                                              Action Planning
    Training                    Users
                                                                                Waves 3 and 4                                                       Table of Contents
    AMS-Wash., D.C.             50      3.5             3.5 wks - 1 WDC-based
                                                        instructor
                                                                                1. Manager and Supervisor Preparation Session Slide Deck
    FNS – Alexandria,           50      3.5             Planning, Contract                 A PowerPoint presentation containing the materials covered during the Manager and
    V.A.                                                Mgmt, Bid & Award,                 Supervisor Preparation Session will help managers and supervisors talk with employees
                                                        Ordering, Financial                about how work may change and about what training they will attend.
                                                        Reporting, Inventory
                                                        Control                 2. Roles and Training Courses
       Training Schedule
        Training Schedule
                                                                                           This document provides a listing of the training courses associated with each role.

                                                                                3. Process and Role Illustration Conversation Aids
    FSA-Kansas City             600     40              5 wks - 3 KC based                 These documents graphically depict the new business processes and highlight the roles
                                                                                           that employees may have in the process.
                                                        instructors
                                                        Planning/Contract       4. Group Meeting Materials
                                                        Mgmt/Bid & Award/                  Speaking points to help managers and supervisors inform employees about what will
                                                                                           happen next with Imagine PA.
                                                        Financial Reporting,
                                                        Inventory Control,      5. Sample Individual Transition Plan
                                                        Shipping, A/P                      After managers and supervisors hold their group meetings, they will meet one-on-one with
                                                                                           employees who have been assigned roles in the new system. The Individual Transition
                                                                                           Plans (ITPs) help managers and supervisors talk to employees about what responsibilities
                                                                                           employees will have in the new system.
    Administrators Training
                                                                                6. Sample One-on-One Conversation Script
                                                                                           To prepare for One-on-One Conversations with employees, the manager or supervisor can
    AMS-Wash D.C.               5       1 combined      1 week for 1 WDC-                  use the Sample One-on-One Conversation Script to see how conversations led by other
                                                                                           supervisors have proceeded.
                                        AMS/ FNS        based instructor
    FNS-Alexandria,             10                                              7. Frequently Asked Questions
    V.A.                                                                                   A list of questions that employees may have about Imagine PA. Reading this prior to
                                                                                           having One-on-One Conversations will help manager and supervisors better answer
    FSA-Kansas City             50      Speaker Notes
                                        3.5
                                         Speaker Notes
                                                        ~1 week for 3 KC-
                                                        based instructors
                                                                                           questions.

                                                                                8. Session Evaluation
                                                                                           The Feedback Card is used to provide Imagine PA with your thoughts and evaluation of the
                                                                                           Preparation Session.                                                                        Employee
                                                                                                                                                                                         Employee
                                                                                                                                                                                      Briefing Deck
                                                                                                                                                                                       Briefing Deck


                                                                                                                        FAQ’s with Standard
                                                                                                                         FAQ’s with Standard
                                                                                                                             Answers
                                                                                                                              Answers




8      Building Communications and Marketing Strategies
The Catalyst Team will collaborate and participate with the VoteCal Project Team to develop
a broad-based promotional marketing and communications campaign plan to drive
messaging and solicit feedback. For example, the project team may feel initially
apprehensive and then overwhelmed as go-live approaches. For each phase of the project,


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the Catalyst Team will plan a kickoff event. These events provide project updates, work
steam presentations, and an opportunity to generate excitement and camaraderie. In
addition, a recognition program may be implemented. This program acknowledges
individual and team contributions to VoteCal.
The marketing campaign will use a variety of media, combining print and electronic media
with live, interactive, and coordinated events to engage stakeholders and foster and
reinforce awareness and understanding around the VoteCal effort, its benefits, and how it
will impact them.
In addition, the Catalyst Team will work in partnership with SOS to design live, interactive
events and then guide SOS on how to effectively deliver these events. For example,
workshops in various regions of the state and pre-go-live events may take the form of a
supervisors’ workshop to prepare supervisors to speak with employees about the individual
job impacts and changes in responsibilities. Other events may promote VoteCal awareness
to employees, staff, or special business partners, and may take the form of department
meetings, Q&A sessions, “town hall meetings,” brown-bag lunches, web-enabled meetings,
or demo meetings. Events may also take the form of workshops, for example, validating the
design solution with the voter registration process owners.
In conjunction with the communications effort, ongoing leadership involvement activities will
inform leaders about key project decisions. These events will include:

          Management awareness and feedback events. While to-be processes are
           being defined, we will educate SOS leadership about the project—about early
           critical success factors for counties, for example—and provide them with
           opportunities to provide early input into the project.

          To-be process validation events. After the to-be processes are defined in
           requirements confirmation workshops, we will review the process changes with
           key leaders prior to broad dissemination.

          To-be process briefings. After to-be processes are validated, we will present
           the process changes to the counties so that they understand the changes and can
           be prepared to map needed roles to the employees who will be responsible for
           processing the transactions.

          Manager and supervisor preparation sessions. After to-be processes are
           shared and roles are mapped to employees, we will provide tools to managers
           and supervisors at all levels so that they understand the changes that affect their
           employees and they can prepare their employees before training begins.



These interactive events will present opportunities for key SOS executives or VoteCal
project leadership to speak to and obtain feedback from stakeholders. Event feedback may
be used to monitor acceptance levels and project risk.
Our proposed work products, key activities, and associated benefits for engaging and
communicating with VoteCal stakeholders are presented in the table below.




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  Table 4N-12: Engaging and Communicating with VoteCal Stakeholders Provides
     Avenues for Understanding, Involvement and Feedback—Fostering Broad
                                  Commitment
     Work              Description                  Key Activities                    Benefits                  Project
   Products                                                                                                     Phase
Initial Startup      Provides positioning        Activity 1: Scope and          Proper positioning       
Communiqués           statement for                prepare start-up                of the initiative from      Phase I
                      initiative and written       communications effort           day one
                      communiqués to              Activity 2: Draft              Acceptance and
                      internal and external        positioning statement           support is gained
                      audiences, as                for the initiative              for important start-
                      required, to                Activity 3: Draft and           up activities
                      announce start-up of         distribute start-up
                      initiative.                  communiqués
Communications       Outlines the                Activity 1: Analyze            Clear and timely            Phase II
Plan                  approach to                  communication                   messages are
                      promoting the                requirements                    communicated
                      VoteCal project that        Activity 2: Assess             Key project
                      incorporates face-to-        communications                  personnel equipped
                      face meetings, print         environment                     to send accurate
                      communications,             Activity 3: Determine           messages
                      and electronic               key messages to be             Effective feedback
                      communications.              communicated                    channels are in
                                                  Activity 4: Develop             place
                                                   project brand
                                                  Activity 5: Identify
                                                   audience
                                                   segmentations, key
                                                   messages and the
                                                   optimal approach,
                                                   mode, feedback
                                                   mechanism and
                                                   timeline for conveying
                                                   key messages to each
                                                   audience
                                                  Activity 6: Execute
                                                   and monitor Plan
                                                  Activity 7: Update
                                                   Communications Plan
                                                   on a periodic basis to
                                                   reflect initiative
                                                   schedule
Communications       Provides concrete           Activity 1: Reference          Clear and timely            Phases III
Toolkit               communications               Communications Plan             messages are                 & IV
                      tools targeting              to identify key                 communicated to
                      different audiences,         messages, themes,               stakeholders
                      as defined in                audiences, and                  throughout the
                      Promotional                  timeline for                    project
                      Campaign Plan.               communications                 Leaders and key
                      May include fact            Activity 2: Build out the       project personnel
                      cards, FAQs,                 communications                  are equipped to
                      brochures and/or             objects as necessary            send the right
                      presentations. Can           (which might include:           messages
                      be internal or               pocket fact card for           Effective feedback
                      external facing.             leaders, frequently             channels are in
                                                   asked questions                 place
                                                   (FAQs), standard
                                                   presentation with
                                                   speakers notes,


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                                                  feedback
                                                  measurement tools,
                                                  tips for facilitating
                                                  meetings, and/or event
                                                  preparation checklists)
Communication       Includes coordinated        Activity 1: Reference         Increases               
Interactive          events to enhance            Communications Plan            awareness of               Phases
Events Planned       employees’                   to understand                  initiative benefits         III, IV, V,
and Executed         understanding about          audiences and timeline         among employees             VI, and VII
                     initiative, and how it       for interactive events         and others
                     will impact them.           Activity 2: Develop            impacted
                     May take the form of         schedule and mediums          Provides level of
                     Q&A sessions,                for delivering                 understanding of
                     “town meetings”,             Awareness Events               how initiative will
                     validation sessions,        Activity 3: In                 impact employees
                     workshops, web-              conjunction with              Provides feedback
                     enabled meetings,            Communications                 mechanism to
                     etc. Includes                Toolkit, identify tools        initiative leadership
                     opportunities for key        for communicating with         to monitor
                     leaders to speak             employees (employee            acceptance and
                     and to obtain                manuals,                       risk
                     stakeholder                  presentations,                Allow users to get a
                     feedback.                    feedback                       look at the systems
                                                  measurement tools.)           Engages
                                                 Activity 4: Coordinate         stakeholders to
                                                  delivery of the event by       take specific
                                                  preparing leaders and          actions
                                                  managing logistics
                                                 Activity 5: Conduct
                                                  events
                                                 Activity 6: Collect and
                                                  analyze feedback from
                                                  events to monitor
                                                  acceptance and risks




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9    Approach to Monitoring the Effectiveness of Change Management
     Activities
OCM activities build upon each other, so throughout each project phase we will elicit
feedback through surveys and interactive events to measure stakeholder understanding and
confidence against the baseline organizational risk assessment. The Catalyst Team will then
use this data to monitor progress and adjust plans accordingly.

          Exhibit 4N-13: Change Management Activities Build Upon Each Other



    OCM Activities Build Upon Each Other

                                                                           Written Communication
          Prepared
                                                                                                                      On-going
       “How will my
                                                                                                                      transition
     world change?”                       Supervisor Meetings with Employees                                          activities


                                                                                                   Identification of local gaps
                                       Preparation Events                                          between the As-Is and To-Be
                                    Communication Toolkit                                          state as and the various
                                                                                                   organizational processes and
     Knowledgeable
                                                                                                   roles for the To-Be state
 “How will the VoteCal               Communications Plan
Project change SOS?”
                               To Be Process Briefings                                 Process Validation Workshops



                                                                            OCM Plan
                         Leadership Strategy and Action Plans

                         Org Risk Assessment
              Aware      Stakeholder Analysis
         “What is the                                           Start Up Communications
    VoteCal Project?”
                                        Awareness Briefings




              Table 4N-14: Change Management Monitoring Tools and Metrics
            Monitoring Tools                                                Description
     Feedback card                         Used to measure stakeholder awareness, confidence,
     Surveys                               communications effectiveness of change process, training
                                           effectiveness, and user adoption around new business
                                           processes, policies and procedures, and systems
     Change scorecard                      Used to track overall progress of OCM strategies, plans, and
                                           activities




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          Monitoring Tools                                        Description
    Deployment activities           Used to assess risk and readiness of local
    dashboard                       department/division/county deployment sites to implement the
    Deployment readiness            new system and processes
    scorecard




10 Proposed OCM Roles and Responsibilities for VoteCal Project
   Team


The effectiveness of our collective Change Management efforts will be dependent upon
establishing and assigning clear roles with clear lines of responsibility. Based on our
experience, the following exhibit presents the key Organizational Change Management roles
and describes the responsibilities of each role.



                 Table 4N-15: Organizational Change Management Roles

             Roles                                              Responsibilities
 SOS Change Management Lead             Work in partnership with Catalyst OCM Lead to oversee and
                                         coordinate the development of all Change Management,
                                         communications, and training strategies and plans.
                                        Responsible for providing integration across all OCM components.
                                        Work with VoteCal executive sponsors and staff and project
                                         management on strategic issues.
                                        Support Project Team Deployment Lead with change-related activities
                                         and cutover tasks within the divisions and counties.
                                        Responsible for providing leadership, direction and guidance to OCM
                                         and training teams around strategies, plans, activities, and tasks to
                                         prepare employees for the new system and the change it brings.
 SOS Communications,                    Work collaboratively with Catalyst’s Communications, Mobilization and
 Mobilization and Alignment,             Alignment, Workforce Transition Coordinator to effectively
 Workforce Transition Lead               communicate and engage State stakeholders in support of the
                                         proposed effort.
                                        Work collaboratively with Catalyst’s Communications, Mobilization and
                                         Alignment, Workforce Transition Coordinator to develop
                                         Communications, Mobilization and Alignment strategies, approaches,
                                         activities, and tools to identify and address risk and readiness, mobilize
                                         and align leaders, and effectively communicate and engage State
                                         stakeholders in support of the proposed effort.
                                        Responsible for the execution and performance of Communications


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            Roles                                                Responsibilities
                                        and Mobilization and Alignment strategies.
                                       Work collaboratively with Catalyst’s Communications, Mobilization and
                                        Alignment, Workforce Transition Coordinator to oversee and
                                        coordinate the workforce transition component of the OCM track.
                                       Work collaboratively with Catalyst’s Communications, Mobilization and
                                        Alignment, Workforce Transition Coordinator to develop Workforce
                                        Transition strategies, approaches, activities, and tools to effectively
                                        transition the State workforce to new roles.
                                       Responsible for the execution and performance of Workforce
                                        Transition strategies.
SOS Administrative Project             Provide logistics support (such as scheduling meetings, interviews, and
Support                                 events).
                                       Participate in Project Team activities to develop processes and
                                        procedures to improve project operations.
                                       Assist in the development, editing, reproduction, and dissemination of
                                        communication materials and tools such as presentation slides,
                                        newsletters, FAQs, facilitator notes, agendas, and e-mails.
                                       Provide support for user analysis of surveys and focus group studies.
                                       Respond to inquiries concerning project activities and status from
                                        internal and external sources.
                                       Maintain project historical records and knowledge repository.
Catalyst Organizational Change         Provide management oversight, strategic advice for OCM /training
Management Lead                         strategies, and leadership involvement.
                                       Work in partnership with SOS Organizational Change Management
                                        Lead to oversee and coordinate the development of all OCM,
                                        communications, and training strategies and plans.
                                       Support SOS Organizational Change Management Lead to provide
                                        integration across all OCM components.
                                       Work with VoteCal executive sponsors and staff and project
                                        management on strategic issues.
                                       Support Project Team Deployment lead with change-related activities
                                        and cutover tasks.
                                       Provide direction and guidance to OCM and training teams around
                                        strategies, plans, activities, and tasks to prepare employees for the
                                        new system and the change it brings.




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               Roles                                               Responsibilities
 Catalyst Communications,                  Work collaboratively, coach, and guide SOS Communications,
 Mobilization & Alignment,                  Mobilization and Alignment, Workforce Transition Lead in the
 Workforce Transition                       development and performance of strategies, activities, and tools to
 Coordinator                                effectively communicate and engage stakeholders in support of the
                                            proposed effort.
                                           Work collaboratively, coach, and guide SOS Communications,
                                            Mobilization and Alignment, Workforce Transition Lead in the
                                            development and performance of strategies, activities, and tools to
                                            identify and address risk and readiness, mobilize and align leaders.
                                           Assist in the facilitation of key decision meetings
                                           Work collaboratively with SOS Communications, Mobilization and
                                            Alignment, Workforce Transition Lead to oversee and coordinate the
                                            workforce transition component of the OCM track.
                                           Work collaboratively, coach, and guide SOS Communications,
                                            Mobilization and Alignment, Workforce Transition Lead in the
                                            development and performance of workforce transition strategies,
                                            approaches, activities, and tools to effectively transition the State
                                            workforce to new roles.




To assist the Catalyst Team in the development and execution of organizational change
management activities, the Catalyst Team has defined the preferred skill sets for the SOS
roles defined above. These preferred skill sets are outlined in Table 4N-16. For additional
project roles, see Project Management Plan – Section 3.3: Resource Assignments.




           Table 4N-16: SOS Organizational Change Management Skill Sets

         Role                              Responsibilities                           SOS Preferred Skill Sets
SOS Organizational              Work in partnership with Catalyst OCM                 Has functional experience in
Change Management                Lead to oversee and coordinate the                     change management, including
Lead                             development of all Change Management,                  communications, training, and
                                 communications, and training strategies                system/software
                                 and plans.                                             implementation
                                Responsible for providing integration                 Well-respected among
                                 across all OCM components.                             leadership and peers
                                Work with VoteCal executive sponsors and              Skilled at working with
                                 staff and project management on strategic              executive staff and employees
                                 issues.                                                at different levels
                                Support Project Team Deployment Lead                  Skilled manager and


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         Role                            Responsibilities                           SOS Preferred Skill Sets
                              with change-related activities and cutover              communicator (oral
                              tasks within the divisions and counties.                presentations, written,
                             Responsible for providing leadership,                   facilitation)
                              direction and guidance to OCM and
                              training teams around strategies, plans,
                              activities, and tasks to prepare employees
                              for the new system and the change it
                              brings.
SOS Communications,          Work collaboratively with Catalyst’s                   Has in-depth knowledge of
Mobilization and              Communications, Mobilization and                        SOS leadership, organization,
Alignment, Workforce          Alignment, Workforce Transition                         and communications networks
Transition Lead               Coordinator to effectively communicate                 Skilled manager, works well
                              and engage State stakeholders in support                with leaders, and able to
                              of the proposed effort.                                 facilitate executive teams
                             Work collaboratively with Catalyst’s                   Well-respected within the SOS
                              Communications, Mobilization and                        organization
                              Alignment, Workforce Transition                        Skilled communicator (has
                              Coordinator to develop Communications,                  experience in oral
                              Mobilization and Alignment strategies,                  presentations, facilitation,
                              approaches, activities, and tools to identify           conducting interviews and
                              and address risk and readiness, mobilize                focus groups, written and
                              and align leaders, and effectively                      electronic communications,
                              communicate and engage State                            presentation content)
                              stakeholders in support of the proposed                Has the ability to gather
                              effort.                                                 quantitative data through
                             Responsible for the execution and                       survey tools and analyze
                              performance of Communications and                       stakeholder concerns
                              Mobilization and Alignment strategies.                 Knowledgeable of
                             Work collaboratively with Catalyst’s                    departments/stakeholder
                              Communications, Mobilization and                        groups in terms of organization,
                              Alignment, Workforce Transition                         key issues, and
                              Coordinator to oversee and coordinate the               communications networks
                              workforce transition component of the                  Knowledgeable of the SOS
                              OCM track.                                              culture, organizational structure
                             Work collaboratively with Catalyst’s                    and processes, and HR policies
                              Communications, Mobilization and                        and procedures
                              Alignment, Workforce Transition                        Knowledgeable about role
                              Coordinator to develop Workforce                        impacts and job design
                              Transition strategies, approaches,                     Uses software programs
                              activities, and tools to effectively transition         including Microsoft Word, Excel
                              the State workforce to new roles.                       and PowerPoint


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         Role                            Responsibilities                     SOS Preferred Skill Sets
                             Responsible for the execution and
                              performance of Workforce Transition
                              strategies.



SOS Administrative           Provide logistics support (such as               Skilled at working with project
Project Support               scheduling meetings, interviews, and              team members and employees
                              events).                                          at different levels
                             Participate in Project Team activities to        Knowledgeable of the SOS
                              develop processes and procedures to               organizational structure
                              improve project operations.                      Possesses solid analytical and
                             Assist in the development, editing,               organizational skills
                              reproduction, and dissemination of               Effective communicator
                              communication materials and tools such as        Uses software programs
                              presentation slides, newsletters, FAQs,           including Microsoft Word, Excel
                              facilitator notes, agendas, and e-mails.          and PowerPoint
                             Provide support for user analysis of
                              surveys and focus group studies.
                             Respond to inquiries concerning project
                              activities and status from internal and
                              external sources.
                             Maintain project historical records and
                              knowledge repository.




                                                                                                  Tab 4N - Page 39

								
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