Change Management Best Practices Guide

An Additional Help for ADS Chapter 597

New Edition Date: 05/08/2015

Responsible Office: M/MPBP
File Name: 597saj_050815
Change Management
Best Practices Guide

Performance Improvement Officer

Table of Contents

1. Purpose ................................................................................................................................................. 1
2. Overview ............................................................................................................................................... 1
3. Methodology......................................................................................................................................... 2
4. Best Practices ........................................................................................................................................ 3
4.1 Establish a Vision........................................................................................................................... 3
4.2 Involve Senior Leadership ............................................................................................................. 3
4.3 Develop a Change Management Plan ........................................................................................... 4
4.4 Engage Stakeholders ..................................................................................................................... 5
4.5 Communicate at all Levels ............................................................................................................ 6
4.6 Create Infrastructure to Support Adoption .................................................................................. 7
4.7 Measure Progress ......................................................................................................................... 8
5. Conclusion ............................................................................................................................................. 9
Appendix A: Change Management Resources ......................................................................................... A-1
Appendix B: Methodology ........................................................................................................................B-1
Appendix C: USAID Case Studies ............................................................................................................... C-1
1. Purpose

The United States Agency for International Development (USAID) has embarked on many ambitious
organizational reform initiatives in recent years and experienced varying degrees of success with
their implementation. A major factor impacting success is the role of change management in the
process. Several operating units have examined the issue of change management as it pertains to
their individual initiatives. The purpose of this guide is to outline best practices and lessons learned
that all operating units can draw upon when embarking on organizational change activities, such as
implementing new initiatives or mandates, restructuring, or introducing new technologies or
policies.

2. Overview

Change management is an organizational process aimed at helping stakeholders1 accept and

embrace changes in their operating environment. It involves the application of a set of tools,
processes, skills, and principles for managing the ‘people’ side of change in order to achieve the
desired outcomes of a project or initiative.

USAID must incorporate the principles of change management into all organizational initiatives to
produce effective, long-lasting, and sustainable change. Over the past 20 years, research
demonstrates that 70 percent of change efforts within organizations fail.2 A major threat to
successful change implementation is not focusing enough attention on the ‘people’ component of
the change. Where success has been achieved, prominent leadership and change expert Dr. John
Kotter notes that the change process is comprised of a series of steps and requires considerable
time to produce a satisfying result.3 Ultimately, successful change management involves getting
people to commit to or own a change.

Abundant research and data are available on how to implement long-lasting change. Appendix A in
this reference includes a few of the most prominent change management models, as well as other
change management resources from the Federal Government and private sector. The best practices
contained in this guide synthesize major themes found across the literature and in practice at
USAID, and are found in Figure 1.1. Using these best practices in future change efforts increases the
likelihood that change takes hold and becomes engrained in the organization.

1
Stakeholders are those individuals, both internal and external, who have influence, impact, interest, and
have made investments in the process.
2
Scott Keller and Carolyn Aiken, The Inconvenient Truth About Change Management: Why it isn’t working and
what to do about it, McKinsey and Company.
3
John P. Kotter, Leading Change: Why Transformation Efforts Fail, Harvard Business Review, March-April
1995.

1
Figure 1.1: Change Management Best Practices

Establish a vision

Involve senior
Measure progress
leadership

Create
Develop a change
infrastructure to
management plan
support adoption

Communicate at all Engage

levels stakeholders

Lastly, it is important to highlight the issue of ‘bottom-up’ versus ‘top-down’ change. Stakeholders
are more likely to own a change if it is initiated at the working level rather than having it imposed
upon them by their leadership or outside parties. However, it is not always possible or practical in
the public sector for organic change to occur, so a ‘top-down’ approach may be required. While the
best practices in this guide focus more on how to approach ‘top-down’ change, the principles are
still relevant to ‘bottom-up’ change. In fact, several of the best practices may be easier to
incorporate when the push for change originates with staff.

3. Methodology

To develop a list of best practices, the Bureau for Management’s Office of Management Policy,
Budget, and Performance (M/MPBP) performed desk research and conducted key informant
interviews with 20 USAID staff who were involved in initiatives that resulted in organizational
change. These initiatives include: the Global Acquisition and Assistance System (GLAAS)
deployment, the rollout of the Telework and Evaluation policies, and development and
implementation of the Bureau for Management 2003 Customer Service Standards. This guide
reflects the best practices and lessons learned from the USAID case studies and external resources,
as well as illustrative—though not exhaustive—examples. See Appendix B in this reference for more
information on the methodology used to develop the guide and Appendix C in this reference for a
description of each USAID case study.

2
4. Best Practices

4.1 Establish a Vision

Change must have a purpose with which staff identifies. To Effective visions are:
begin, leadership should outline the vision of the desired state
that will come about as a result of the change. The vision  Clear
should allow for shared ownership at all levels of the  Unambiguous
organization. Staff and other stakeholders must feel connected  Personally relevant
to the vision and understand its utility to their own work. They  Simple
must also understand how the change personally impacts them,  Vivid4
and acknowledge that workload or behavior change serves a
larger purpose.

Illustrative USAID examples and lessons learned: While the Telework policy stemmed from a
statutory requirement, the Telework team purposely broadened the vision of the policy to focus on
enabling a more mobile workforce and changing the perception of personnel management. This
struck a more personal chord with USAID staff and managers, though it took some convincing.
Similarly, while GLAAS is a system, the vision for its deployment was to make the acquisition and
assistance process more efficient and effective in support of the Agency’s development mission. In
addition, the GLAAS team stressed the system’s usefulness in improving reporting timeliness and
quality, allowing staff more time to focus on other work. A constraining factor at USAID has been
when staff interprets change as a compliance exercise rather than a value-add to their work. In
other cases, staff did not understand how the change was relevant to their work. These viewpoints
limit employee buy-in and adoption of the change, and operating units should take care to address
the vision when communicating and engaging staff in the process.

4.2 Involve Senior Leadership

It is critical that a coalition of senior leaders commit to and involve themselves in the design,
communication, and implementation of an initiative. A study on the Agency’s efforts to promote
stakeholder participation found that organizational change within USAID takes time and requires
clear and sustained leadership.5 Senior leadership should communicate that the change represents
a positive development for the organization, which will lend
Senior leaders need to be legitimacy to the initiative. Conversely, when leadership is not
sponsors of the change, as engaged or does not view a change as a priority, staff may
stakeholders tend to disregard change efforts or view the change as an activity to ‘check
respond more positively to a box.’ A lack of leadership commitment reduces the chances of
messaging from this group. long-run change adoption.

4
Communication for Governance and Accountability Program, Change Management, The World Bank, 2009.
5
USAID, Engaging Customer Participation: USAID’s Organizational Change Experience, International
Conference on Upscaling and Mainstreaming Participation of Primary Stakeholders: Lessons Learned and
Ways Forward, November 19-20, 1998.

3
Illustrative USAID examples and lessons learned: The GLAAS and Telework and Evaluation policy
Executive Sponsors were prominently involved in each initiative, owning and personally
championing the change and attending trainings. This involvement sent a strong message to staff.
Development and implementation teams also leveraged Executive Sponsor participation to
communicate effectively with the Administrator and the Agency. Though, USAID has also learned
that when leadership attention shifts to other priorities or when the Agency tries to roll out multiple
major initiatives at once, it compromises the incentive and ability for the organization to implement
and sustain change.

4.3 Develop a Change Management Plan

Organizations need to develop a detailed strategy for moving from the current state to the desired
state. USAID already exemplifies this approach through its strategic planning process outlined in
Automated Directives System Chapters 201 Planning and 597 Operations Performance Policy.

The level of complexity and formality of the change management plan will depend on the nature of
the change. To help inform the plan, an organization may conduct a change readiness assessment,
which establishes the organization’s current status and ability to change. Additionally, it may also
perform a risk analysis to determine potential risks and key barriers to change, and establish a plan
for mitigation.
Change management plan key
The box to the right notes key components for a components:
change management plan. Ultimately, the plan will
help guide the change process and ensure steps are  Vision and goals
not missed or efforts sidetracked. When developing  Stakeholders
the plan, the operating unit should consider  Resources
whether to do a full implementation or roll the  Time-specific milestones
change out in phases. The latter allows for  Communications tools and strategy,
incorporation of lessons learned into subsequent including key messages
roll outs. The operating unit should regularly revisit  Metrics
the plan to ensure they reflect the most current
 Roles and responsibilities
thinking and any changes that occurred during the
 Results from change readiness or risk
process. Appendix A in this reference contains
analyses (if applicable)
toolkits that may be helpful when developing a
change management plan.

Finally, change management does not end once a new system or policy is rolled out. It is important
to plan for the long-run adoption of change. As such, the change management plan should cover all
phases of an initiative, including post-rollout and institutionalization.

Illustrative USAID examples and lessons learned: The GLAAS organizational change management
team successfully utilized a Change Management Strategy and an Organizational Change
Management (OCM) Plan to guide stakeholders through GLAAS deployment. The Change
Management Strategy identified and validated GLAAS stakeholders, key messages, and
recommended communication tools. The OCM Plan created an actionable plan that detailed when
to reach out to each GLAAS stakeholder, with what information, using what messages, and with
which communication tools.

4
Similarly, the Telework team employed project management techniques to keep everyone focused
on the same goals and tasks. These techniques included: creating an executive board, defining clear
phases of execution, setting deadlines, establishing subteams to focus on trainings and
communication, and assigning clear accountability for tasks.

USAID has learned that the absence of a comprehensive implementation plan can lead to
misunderstandings about the initiative across the organization and the Agency reacting to issues in
an ad hoc versus deliberate manner. Given the decentralized nature of USAID, well-developed plans
can reduce the risk that initiatives are unevenly or partially adopted. USAID has also learned that
change management takes time. Many initiatives are multi-phase processes, where the Agency will
not realize full adoption for many years. Therefore, it’s important to plan for how a change will
mature over time.

4.4 Engage Stakeholders

People are at the core of any successful change.6 Involving stakeholders early, often, and in a
meaningful way “helps reduce barriers to change by creating psychological ownership, promoting
the dissemination of critical information, and encouraging employee feedback for fine-tuning the
change during implementation.”7 A Booz Allen Hamilton study of governmental change efforts
found that 75 percent of successful change leaders utilized a collaborative approach for developing
and implementing change, compared with 33 percent of unsuccessful change leaders.8

Change champions = Operating units should use a stakeholder analysis to identify the
individuals who are individuals and groups that the change impacts and understand
supportive of change and their positions regarding the change. A stakeholder analysis is
eager to see it implemented particularly beneficial for USAID change efforts given the variety
of staff and stakeholders associated with the Agency. Two
Change resistors = categories of stakeholders are particularly important: change
individuals who oppose champions (also known as change agents) and resistors of
change and may try to change. Individuals in both categories may come from all levels
prevent its implementation of the organization. Change champions are invaluable in
promoting and legitimizing an initiative and establishing a group
of subject matter experts to supplement those on the development and implementing team. They
can help drive the change from the bottom up.

Conversely, those that resist change may do so for a variety of reasons, including being fearful of
something new or protective of the status quo. Proactively and sincerely engaging resistors
provides them with an opportunity to express concerns, which the organization can address, to the
extent possible, during implementation. It is important to not ignore those that resist change

6
Suzanne Bond Hinsz, Change Management, Deloitte, USAID Presentation, March 2013.
7
Sergio Fernandez and Hal G. Rainey, Managing Successful Organizational Change in the Public Sector, Public
Administration Review, March/April 2006.
8
Dave Mader, Steven Kelman, and Jeff Myers, What It Takes to Change Government: Successfully Executing
Ambitious Strategies, Booz Allen Hamilton.

5
because they can wield a great deal of influence among other stakeholders. In all cases, stakeholder
participation should be widespread and pervasive during the different stages of the change effort.9

Engaging stakeholders can also include incentivizing them to produce the desired behavior. Staff
and manager position descriptions, annual work plans, and evaluations must reflect post-change
activities and expectations. Besides annual evaluations, monetary and nonmonetary awards and
recognition can assist in promoting desired actions.

Illustrative USAID examples and lessons learned: The working group that developed the Bureau for
Management 2003 Customer Service Standards included representatives from across stakeholder
bureaus. The Evaluation and Telework policies and GLAAS deployment also relied, and continue to
rely, heavily on points-of-contact and subject matter experts in each bureau, independent office,
and mission to disseminate key information and implement specific provisions of the initiatives.
Early on, the working group that developed the Telework policy included some who opposed the
change. Embracing and addressing staff and managers’ concerns upfront helped mitigate
roadblocks during later stages of implementation and encouraged ownership. In all the cases,
engaging stakeholders proved critical to moving the change forward.

It may not be possible for USAID to engage all possible stakeholders in a given change, but operating
units should make reasonable attempts to be inclusive. USAID has also learned from its struggle to
realize sustainable change when not holding staff accountable for implementing new initiatives. In
some cases, operating units did not include standards reflecting the post-change environment in
staff annual work plans. Without this incentive, it was more challenging for the Agency to elicit the
desired behavior.

4.5 Communicate at all Levels

Communication is one of the most important elements to a successful change effort—it sets a tone
of transparency and openness. Proper communication can serve a myriad of functions, including:

• Conveying the vision, goals, and motivation for change; Communication should:
• Sharing information about organizational changes and
providing stakeholders with details about the nature,  Occur repeatedly and
timing, and significance of the change; through multiple
• Eliciting participation and specific actions from channels
stakeholders;  Include opportunity for
• Providing social support by addressing concerns, questions and feedback
alleviating fears, and encouraging support systems  Be tailored to specific
among employees; and recipients
• Providing feedback to employees about their
performance during change initiatives and providing feedback to implementers regarding
strengths and weaknesses of the change initiative.10

9
Sergio Fernandez and Hal G. Rainey, Managing Successful Organizational Change in the Public Sector, Public
Administration Review, March/April 2006.
10
Communication for Governance and Accountability Program, Change Management, The World Bank, 2009.

6
Consistent communication is important to preserve and reinforce key messages, which should relate
back to the higher-level objectives and vision for the change. Senior leaders and change champions
should serve as communicators to enforce these key messages. Further, organizations can use in-
person communication, where feasible, to establish relationships with stakeholders.
Communication is also an effective method for helping people overcome their resistance to
change.11

Illustrative USAID examples and lessons learned: USAID has experienced the greatest impact when
communication occurs through varied internal and external mechanisms. For example, the Agency
has utilized Agency Notices, emails, websites, reports, presentations, in-person meetings, trainings,
and informal discussions to effectively get the word out to both Washington and the field. The
GLAAS and Telework teams employed communication protocols that matched the message sender
with the message purpose to maximize impact and promote timely communication. The GLAAS
implementation team also sent out communications well in advance of the deployment of the
system to let stakeholders know a change was coming. Communication continued well after the
release of GLAAS to proactively ask users if they needed help or assistance.

USAID has learned that it is necessary to offer stakeholders current and logically organized
information to maximize the communication’s utilization and value. The communication must be in
formats to which stakeholders pay attention and using messages to which stakeholders relate,
otherwise it will not register with them. USAID has also not been as successful when senior leaders
had limited involvement in disseminating key messages to operating units.

4.6 Create Infrastructure to Support Adoption

Altering organizational norms, behaviors, and culture is one of the most difficult aspects of change
management, but is also one of the most important. The process takes considerable time—several
initiatives that USAID has officially launched in recent years are only in the beginning stages of
institutionalization. For these reasons, senior leadership and operating units must work together to
create an environment and provide the tools necessary to promote long-run adoption.

Training is critical for familiarizing stakeholders with the details of change and how it applies to their
work. Through training, staff gains a concrete understanding of how his/her behavior needs to
change, the ultimate benefits the organization will realize, and the
Reinforce change through skills needed to effectively institute the change. Given the diversity
organizational structures: of talent at USAID, organizational change efforts may require a
significant investment in training of both staff and partners.
 Policies
 Procedures Senior leaders also need to consider their ability to dedicate and
 Systems maintain resources for a change over the long term. This includes
adequate staff, space, equipment, and funding. The provision of
resources signals to stakeholders that the change is a priority and the organization is laying the
foundation for success. Failure to allocate sufficient resources can prevent sustainable change.12

11
John P. Kotter and Leonard A. Schlesinger, Choosing Strategies for Change, Harvard Business Review, July
2008.
12
USAID, Synthesis Report for USAID/AFR Change Management Assessment, March 15, 2013, page 78.

7
Senior leadership should also consider their ability to utilize change management-specific resources.
External consultants or internal staff with expertise can help ensure operating units incorporate
change management principles into the planning and implementation of an initiative.

Illustrative USAID examples and lessons learned: As part of the release of the Evaluation policy, the
Bureau for Policy, Planning and Learning established trainings to rebuild USAID staff capacity and
continue to offer training today. Similarly, the Agency institutionalized the Telework policy by
making telework training mandatory for all USAID staff at every level. While USAID was not required
to conduct the training in-person, the Telework team believed they would be more effective in
reaching staff in a face-to-face environment. The GLAAS and Telework teams also found it
important to have staff with the right skill set as trainers to lend credibility to the trainings and make
them enjoyable for attendees.

USAID has successfully utilized work groups or teams to develop and implement change. Initiatives,
supported with dedicated human resources post-implementation, are on track to experience long-
lasting adoption. However, USAID has also learned that when the resource allocation does not
match the level of effort required to institutionalize a change, progress can slow or halt. USAID does
not have dedicated staff with experience in change management. Individual initiatives rely on
outside assistance or staff with a background in project or change management, but there is no
central resource for operating units to tap into for expertise and guidance. Identification of a
resource would be valuable to the Agency.

The Agency has also learned that a lack of official guidance codified through policies and procedures
during early stages of implementation can leave the door open for interpretation. Making these
tools available in a timely manner can help ensure consistency, increase compliance, and reduce the
risk of contradictory information coming out later in the process.

4.7 Measure Progress

Organizations need metrics to measure progress and change.

 Who will collect and
Measurement and reporting allows operating units to understand
analyze the data?
if stakeholders have implemented the change as intended, and
make course corrections where needed. Evaluation and  How and when are
monitoring must continue post-implementation to ensure the data collected?
organization does not lapse into old behavior.13 Early in the  What will organization
planning process, operating units should identify metrics that will do with the results?
appropriately demonstrate adoption of the desired change.
Publicizing the results throughout the organization can help institutionalize change and reaffirm
messaging on its ultimate purpose.

Illustrative USAID examples and lessons learned: To demonstrate its evolving implementation,
USAID tracks employee participation in and satisfaction with telework through the Federal
Employee Viewpoint Survey and the Agency’s time and attendance system. Similarly, the GLAAS

13
Sergio Fernandez and Hal G. Rainey, Managing Successful Organizational Change in the Public Sector, Public
Administration Review, March/April 2006.

8
team monitors Helpdesk inquiries to identify areas where additional guidance is needed to improve
utilization.

Yet, USAID has also learned from its experiences with inadequately planning for monitoring and
assessing change. The lack of a tracking system and follow-up on metrics limits accountability and
can contribute to a perceived absence of long-term change. In addition, USAID struggled with the
impact stretch targets not grounded in evidence can have on a new initiative. While establishing
targets is important to focus and motivate the organization around a change, the Agency must set
targets in a manner that aligns with institutional capacity and supports the goals of the change.

5. Conclusion

USAID operates in a dynamic, constantly changing environment. As part of effective organizational

management, it is important for operating units to have the tools necessary to react to and
implement change successfully. While it requires an initial outlay of time and resources,
incorporating change management best practices into the design and implementation of new
activities supports the institutionalization of long-lasting change.

9
Appendix A: Change Management Resources
1. Change Management Models

Organizational change management literature is rich with models and philosophies of change. The
following is a summary of three well-known change management models.

Dr. John Kotter’s Eight Step Process for Leading Change

Based on his study of hundreds of private sector organizational change efforts, Harvard professor Dr.
John Kotter categorized successful change into eight basic steps (Figure A.1). In 1995, in previewing his
now widely-cited book, Leading Change, Dr. Kotter wrote, “The most general lesson to be learned from
the more successful cases [of corporate change efforts] is that the change process goes through a series
of phases that, in total, usually require a considerable length of time. Skipping steps creates only the
illusion of speed and never produces a satisfying result.”14 More information on the eight-step process
can be found at Kotter International.

Figure A.1: Kotter’s Eight Step Process15

14
John P. Kotter, Leading Change: Why Transformation Efforts Fail, Harvard Business Review, Spring 1995.
15
Suzanne Bond Hinsz, Deloitte Consulting, Change Management, USAID In-House Presentation, March 2013.

A-1
Kurt Lewin’s Three-Step Approach to Planned Change

In the 1940s, Kurt Lewin, a social psychologist, proposed a three-stage approach to planned change
involving unfreezing, changing, and freezing. The model is still recognized today for its relevancy in
modern change management. The three stages are described below.16

1) Unfreezing: This stage is about getting ready to change. It involves getting to a point of
understanding that change is necessary and getting ready to move away from our current comfort zone.
This first stage is about preparing people before the change (and ideally creating a situation in which
people want the change). This first 'Unfreezing' stage involves moving individuals, a department, or an
entire business, toward motivation for change.

2) Changing: Change is not an event, but rather a process. Lewin called this process a transition.
Transition is the inner movement or journey individuals or a company/organization makes in reaction to
a change. This second stage occurs as needed changes are made. This stage is often the hardest
because people are unsure or even fearful. They are learning about the changes and need to be given
time to understand and work with them. Support is very important at this stage, which can be in the
form of training, coaching, and expecting mistakes as part of the process. It is also useful to keep
communicating a clear picture of the desired change, and the benefits, so people do not lose sight of the
vision.

3) Freezing: This stage is about establishing stability once changes have been made. As the changes are
accepted and become the new norm, people form new relationships and become comfortable with their
routines. It can take time to anchor changes into a culture and prevent backsliding into previous
behavior.

16
Mark Connelly, Kurt Lewin Change Management Model.

A-2
Awareness, Desire, Knowledge, Ability, Reinforcement (ADKAR) Model

The ADKAR model was first introduced by Prosci, a change management research firm, in 1999.
According to Prosci, the ADKAR model (Figure A.2) is based on research from more than 300 companies
that underwent significant change initiatives. The model is most often used by managers to diagnose
employee resistance to change, help employees transition through the change process, and create an
action plan for professional development during change periods.17

Figure A.2: ADKAR Model18

2. Federal Agency Resources

Author Resource
Department of Agriculture, Federal Aviation Managing and Leading Change: Understanding
Administration Employee Commitment
Department of Agriculture, Forest Service Change Management and Implementation
Guide
Department of Defense, Defense Business Innovation and Cultural Change Task Group
Board Report, Appendix B

17
Prosci, Applications for ADKAR.
18
Prosci, ADKAR Model.

A-3
3. Toolkits and Other Reading

Author Resource
Johns Hopkins Medicine, Office of Organization Change Management Toolkit
Development and Training
Queensland Government, Public Service Change Management Best Practices Guide
Commission
Government of Western Australia, Public Sector Structural Change Management: A Guide to
Commission Assist Agencies to Manage Change
University of Victoria Change and Transition Toolkit
Sergio Fernandez and Hal G. Rainey Managing Successful Organizational Change in
the Public Sector
Booz Allen Hamilton What It Takes to Change Government
Evie Browne, Learning Network on Capacity Change Management for Effective Institutions
Development

A-4
Appendix B: Methodology
The Bureau for Management, Office of Management Policy, Budget, and Performance (M/MPBP)
utilized two qualitative research methods to develop this guide. First, staff selected four case studies of
USAID initiatives that resulted in organizational change. Criteria for selecting case studies included:
maturity level (time since implementation), narrow focus, and type of effort (for example, operations
performance management change or policy rollout). M/MPBP selected the following case studies:
Global Acquisition and Assistance System (GLAAS) deployment; Telework Policy development and
rollout; 2003 Bureau for Management Customer Service Standards development and rollout; and 2011
Evaluation Policy development and rollout. M/MPBP identified and conducted structured in-person and
telephone interviews with key informants from each case study. M/MPBP interviewed a minimum of
three people for each case study, and the list of those interviewed along with the questions asked is
included below. M/MPBP is grateful to each participant for his/her insights.

With assistance from the Bureau for Management, Office of the Chief Information Officer’s Knowledge
Service Center, M/MPBP also conducted targeted secondary research into change management best
practices in the Federal Government and private sector. Research covered publicly available
information from the internet and literary publications. M/MPBP also reviewed change management
research documents specifically prepared for USAID. Additional information on prominent change
management models and resources is included in Appendix A in this reference.

2003 Customer Service Standards Evaluation Policy

Sandy Malone-Gilmore Cindy Clapp-Wincek
Robert Baker Krista Stewart
Ruth Buckley Jerome Gallagher
Jean Horton
Emmanuel Obasiolu

GLAAS Telework Policy

Tracy Blackburn Alexis Bonnell
Terry Payne Michelle Delmedico
Kim Neison Cathy Collins
Jessica Bantom Teresa Frakes
Ed Wagner Joann Jones
Tejal Patel Sean Carroll

B-1
 Change Management Best Practices Interview Questions

Note: The questions below are meant to focus on the process by which new initiatives were
implemented at USAID, rather than the technical details of the implementation.

Planning/Implementation Strategy

1) How did the concept for the initiative come to be?

2) How did you go about planning for and implementing the initiative?

3) Was a change management model utilized for the initiative? Why or why not?

a. If yes, which change management model was used and why (e.g., John Kotter’s eight steps,
ADKAR, Kurt Lewin, etc.)?

4) What barriers did you encounter in planning and implementation of the initiative? How were the
barriers overcome?

5) Were there any USAID organizational, cultural, or other nuances that affected planning and
implementation of the initiative?

Leadership

6) What was/is the level of involvement of senior leadership in the following:

None Little Moderate Large

Developing the initiative
Communicating the initiative
Evaluating the initiative

7) How did the level of senior leadership involvement impact the initiative?

8) Did you make use of change agents during planning and implementation?

a. If yes, who were the change agents and how were they used?

b. Was their inclusion beneficial in moving the initiative forward?

Stakeholders

9) Was a stakeholder analysis conducted to determine whose work the initiative would impact?

10) To what extent were the stakeholders included in the following?

None Little Moderate Large

Developing the initiative

B-2
 None Little Moderate Large
Communicating the initiative
Evaluating the initiative

a. Please provide examples of how stakeholders were included.

11) How did you prepare stakeholders for the initiative?

12) How did stakeholders respond to the initiative?

Communication

13) How was the initiative communicated to stakeholders?

14) What information was contained in the communications?

15) How did the stakeholders respond to the communications?

Overarching

Adoption

16) Has the initiative been adopted by staff, managers, implementing partners, senior leadership, and
other stakeholders as envisioned?

a. If yes, what were the most important factors that contributed to the successful
implementation in your opinion?

b. If no, why has it not been implemented as envisioned?

Evaluation

17) How are you measuring/evaluating the success of the initiative?

18) What, if any, metrics are being used for evaluation?

19) How often is the initiative being monitored?

Lessons Learned

20) If the initiative were to be implemented again, what would you do differently to produce the most
successful outcome possible?

21) Is there anything else you would like to tell us that could assist in our study?

B-3
Appendix C: USAID Case Studies
Global Acquisition and Assistance System (GLAAS)
The Global Acquisition and Assistance System (GLAAS) is a business system that provides USAID with the
ability to process its acquisition and assistance transactions worldwide. The integration of GLAAS with
USAID’s financial management system provides real-time posting of commitments, obligations, and
awards, as well as synchronization of vendor data. This system provides inclusive, timely, and accurate
reporting for USAID management, and accommodates requirements and requests from external
stakeholders, such as the Office of Management and Budget and Congress. GLAAS is integrated with
public-facing government-wide systems to increase transparency and visibility by providing USAID data
to the public. USAID phased-in the deployment of GLAAS from 2009-2011.

Evaluation Policy
USAID released a new evaluation policy in January 2011. The policy recognizes that evaluation is the
means through which the Agency can obtain systematic, meaningful feedback about the successes and
shortcomings of its endeavors. The policy builds on the Agency’s long and innovative history of
evaluation, and seeks to redress the decline in the quantity and quality of evaluation practice within the
Agency. USAID uses evaluation findings to inform decisions, improve program effectiveness, be
accountable to stakeholders, and support organizational learning. Strengthening evaluation and
transparency are part of the USAID Forward reform agenda.

Telework Policy
The Telework Enhancement Act of 2010 (the Act), was signed into law on December 9, 2010. The law
specifies roles, responsibilities, and expectations for all Federal executive agencies with regard to
telework policies, employee eligibility and participation, program implementation, and reporting.
Following passage of the law, USAID updated its telework policy and demonstrated its commitment to
support innovations in the workplace that support work/life effectiveness. The Agency’s Automated
Directives System Chapter 405 outlines the telework policy.

2003 Customer Service Standards—Bureau for Management

In April 2002, the Business Transformation Executive Committee (BTEC) approved the establishment of a
working group to develop customer service standards for USAID/Washington. The development of
customer service standards directly addressed one of Administrator Andrew Natsios' management
reform principles: establish a customer service culture in our service organizations to support and
facilitate smooth and efficient program delivery.

This customer service transformation project consisted of multiple phases. Phase I resulted in the
development of Bureau for Management customer service standards. Phase II resulted in customer
service standards for the three pillar Bureaus at the time (Democracy, Conflict, and Humanitarian
Assistance; Economic Growth, Agriculture, and Trade; and Global Health). The Bureau for
Management’s customer service standards covered all six offices within the Bureau. The BTEC approved
a performance standard for each major service offered by the offices.

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