California Organizational Change Management (CA-OCM) Framework

The California Project Management Office (CA-PMO) has developed the California Organizational Change Management Framework (CA-OCM or OCM Framework) to provide project practitioners with a practical guide for managing change within an organization. The CA-OCM provides guidance on OCM methods and approaches through the use of resources, tools, and templates, as well as narrative describing when and how specific OCM activities may be performed throughout the Project Management Lifecycle (PMLC). The CA-OCM is a companion framework to the California Project Management Framework (CA-PMF) and the California Business Process Reengineering Framework (CA-BPR).

The CA-OCM is designed to assist organizations in managing the people-side of change in order to achieve business outcomes associated with that change. These changes can be driven by implementation of a new mandate, process, technology, or strategy. While the CA-OCM is written in the context of information technology (IT) implementation efforts, it is applicable to any type of project that requires an organization, its groups, and its people to change.

Explore an overview of the OCM Framework and access the templates by navigating the web content below. Alternatively, click on the document cover page image or here to download the CA-OCM Framework in PDF format.

Explore the CA-OCM Website

Click on a panel to expand the view and see the additional content. For the complete text see the PDF of the CA-OCM.

Introduction

Organizational Change Management (OCM) is a discipline that helps organizations implement change to achieve measurable results in their business strategies, work processes, structures, technologies, organizational cultures, and management styles. OCM takes into consideration the complete organization and how the people need to change. The CA-OCM provides a set of activities that:

  • Address the people issues that arise when an organization tries to make changes
  • Facilitate communication to increase awareness and ownership
  • Identify and promote leadership support
  • Foster strong and healthy working relationships between project teams, the Project Sponsor, and Stakeholders
  • Mobilize commitment of Stakeholders to implement a change initiative
  • Proactively identify and address resistance to change
  • Create a thoughtful training approach to provide opportunities for end users to gain knowledge and skills in order to succeed in the future state

Templates

Organizational Change Management (OCM) is a discipline that follows a consistent series of activities. The CA-OCM provides standardized templates to accompany key activities. These templates are a core component of the CA-OCM and will help the OCM Practitioner document activities and provide clear, meaningful results. In some cases, the CA-OCM refers to these templates as “tools.” A template, just like any other tool, helps get the job done.

CA-OCM Template Types

CA-OCM templates have been developed to accommodate differences in the experience of the OCM Practitioner. As a result, the CA-OCM templates have been designed in two formats or types: templates with instructions for those that require more guidance and template shells for those with more experience.

Download Complete CA-OCM Template Collection

The following table contains links to download the complete collection of the CA-OCM templates. Select the set with instructions or the template shells or download both for future convenience.

 

Templates with Instructions

Template Shells

Complete CA-OCM Template Collection

Download (zip)

Download (zip)

Download CA-OCM Templates by Process Phase or Individually

The following table contains the templates that accompany the CA-OCM, separated by the process phase where they are referenced. Each template has a brief description and corresponding link to download either the template with instructions or template shell.

Note: A selection of templates are used throughout multiple process phases in the CA-OCM. Where this occurs, the template is listed in both process phases in the table below.Also included in this table are CA-PMF templates which have been leveraged to support OCM activities. These are identified with (CA-PMF) after the template name. View all CA-PMF templates at: http://capmf.cio.ca.gov/Templates.html.

Process Phase / Template Name

Description of Template

Template with Instructions

Template Shell

Concept Process Phase

Download all templates within the Concept Process Phase.

Download (zip)

Download (zip)

Change Magnitude Assessment Template

The Change Magnitude Assessment is used to gain an understanding of the organization, define the relative size and magnitude of the change, and tailor OCM efforts to the organization’s priority areas. In addition, the assessment provides a high level overview for the OCM Practitioner to refer to when discussing the direction of the OCM effort.

Download (doc)

Download (doc)

Environmental Readiness Assessment Template The Environmental Readiness Assessment serves as a tool to assess an organization’s level of readiness for change in four environmental areas: organizational readiness, leadership readiness, employee readiness, and supporting infrastructure readiness. Each environmental area is assessed based on statements regarding the readiness of that area, and assigned a numerical score, and ultimately, a priority level. The Environmental Readiness Assessment assists the OCM Practitioner in identifying OCM priority areas early in the project lifecycle.

Download (doc)

Download (doc)

Project Sponsorship Assessment Template The Project Sponsorship Assessment is designed to be an informal working document that identifies and evaluates potential Project Sponsor candidates. This assessment helps identify a Sponsor’s level of availability, interest, influence, and knowledge of the change initiative.

Download (doc)

Download (doc)

OCM Concept Process Phase Checklist Template

The checklist identifies the key OCM activities that are to be completed during the Concept Process Phase.

Download (doc)

Download (doc)

Initiating Process Phase

Download all templates within the Initiating Process Phase.

Download (zip)

Download (zip)

Change Magnitude Assessment Template

The Change Magnitude Assessment is used to gain an understanding of the organization, define the relative size and magnitude of the change, and tailor OCM efforts to the organization’s needs. This working document provides a high level overview for the OCM Practitioner to refer to when discussing the direction of the OCM effort.

Download (doc)

Download (doc)

Leadership Support Action Log Template

The Leadership Support Action log is a living document that allows the OCM Practitioner to keep track of the actions taken with each executive, as well as the responsible resource, the timing, and the frequency of such actions. This log also allows for an easy transition of responsibility if there is a change in role.

Download (xls)

Download (xls)

Leadership Support Assessment Template

The Leadership Support Assessment serves as an internal assessment performed by the OCM Practitioner and project team. It evaluates leaders in two key areas or categories – their level of resistance and level of importance to the change initiative.

Download (doc)

Download (doc)

OCM Schedule Template

This template provides a structure to document the OCM activities and tasks required during the current process phase required for the project. The OCM Practitioner coordinates closely with the Project Manager when developing the OCM schedule. Though other tools to develop and manage the schedule may be available to the OCM Practitioner, this template may be useful to help gather information from multiple team members that may not have access or be familiar with other project schedule tools.

Download (xls)

Download (xls)

Project Sponsorship Action Register Template

The Project Sponsorship Action Register contains a list of the Sponsor’s required actions, the frequency of these actions, and the detailed responsibilities of the Sponsor. The Project Sponsor will use the Sponsorship Action Register to track his/her project responsibilities and record progress and completion of the Sponsor’s actions.

Download (xls)

Download (xls)

Project Team Guidelines Template

The Project Team Guidelines documents the defined set of expected behaviors that best fit the needs of the project team. It records and displays the behaviors in a visible location for the project team to review and implement.

Download (doc)

Download (doc)

OCM Initiating Process Phase Checklist Template

The checklist identifies the key OCM activities that are to be completed during the Initiating Process Phase.

Download (doc)

Download (doc)

Planning Process Phase

Download all templates within the Planning Process Phase.

Download (zip)

Download (zip)

Communication Action Log Template

The Communication Action Log is used to record communication dissemination and feedback collection. This living document tracks all communication sent and received.

Download (xls)

Download (xls)

Communication Management Plan Feedback Channels Amendment Template

The Communication Management Plan Feedback Channel Amendment serves as an addition to the CA-PMF Communication Management Plan. The amendment assists the OCM Practitioner in identifying communication feedback channels, through which employees, leaders, and Stakeholders may provide opinions, ask questions, and identify concerns related to the project.

Download (doc)

Download (doc)

Communication Management Plan Template (CA-PMF)

The Communication Management Plan identifies project communication needs and expectations based on Stakeholder requirements. It describes how information will be communicated, when and where each communication will be made, and who is responsible for providing each type of communication.

Download (doc)

Download (doc)

Executive Interview Guide Template

The Executive Interview Guide is used by the OCM Practitioner to assess executive leaders. It helps identify the executive group’s strengths, questions, and possible problems.

Download (doc)

Download (doc)

Leadership Support Action Log Template

The Leadership Support Action Log is a tool used to capture and organize tasks, resources, and timeframes for Leadership Support efforts.

Download (xls)

Download (xls)

OCM Plan Template

The OCM Plan details all aspects of the OCM effort, including the scope of the OCM effort, how the change process will occur, how the OCM effort will be managed, and roles and responsibilities associated with the specific change and OCM effort.

Download (doc)

Download (doc)

OCM Schedule Template

This template provides a structure to document the OCM activities and tasks required during the current process phase required for the project. The OCM Practitioner coordinates closely with the Project Manager when developing the OCM Schedule. Though other tools to develop and manage the schedule may be available to the OCM Practitioner, this template may be useful to help gather information from multiple team members that may not have access or be familiar with other project schedule tools.

Download (xls)

Download (xls)

Organizational Change Readiness Assessment Template

The Organizational Change Readiness Assessment provides insight into the need for tailored OCM efforts in all knowledge areas from every level of the organization. The assessment is used to gauge each organizational level (executives, management, employees, project team, etc.) on the group’s thoughts, feelings, and readiness in each knowledge area.

Download (doc)

Download (doc)

Project Sponsorship Action Register Template

The Sponsorship Action Register is a tool used to capture and organize actions, tasks, timeframes, and time commitments for the Project Sponsor’s efforts related to the project. The register should be completed and updated regularly to ensure is applicability to the project efforts.

Download (xls)

Download (xls)

Team Dynamics Action Log Template

The Team Dynamics Action Log allows the OCM Practitioner to track the actions in the specific knowledge areas. There is one for almost every knowledge area and they span the entire knowledge area lifecycle.

Download (xls)

Download (xls)

Training Plan Template

The Training Plan template serves as a guide for the OCM Practitioner in assessing, planning, developing, delivering, and evaluating end-user training. This document guides the entire training effort, from planning and development to delivery and execution.

Download (doc)

Download (doc)

OCM Planning Process Phase Checklist Template

The checklist identifies the key OCM activities that are to be completed during the Planning Process Phase.

Download (doc)

Download (doc)

Executing Process Phase

Download all templates within the Executing Process Phase.

Download (zip)

Download (zip)

Communication Action Log Template

The Communication Action Log is used to record all identified communication actions.

Download (xls)

Download (xls)

Communication Feedback Survey Template

The Communication Feedback Survey collects information regarding the effectiveness of the communication process. The survey assists the OCM Practitioner in identifying successful communication methods and areas of concern in order to modify communications and increase effectiveness.

Download (doc)

Download (doc)

Communication Management Plan Template (CA-PMF)

The Communication Management Plan identifies project communication needs and expectations based on Stakeholder requirements. It describes how information will be communicated, when and where each communication will be made, and who is responsible for providing each type of communication.

Download (doc)

Download (doc)

Executive Interview Guide Template

The Executive Interview Guide is used to assess executive leaders involved in the change initiative. It helps the OCM Practitioner to foster initial relationship building with executive leaders, instigate thought among executive leaders about what is required for a successful change initiative, identify the political “lay of the land”, which helps the project team navigate potential political issues and boundary struggles, and build a picture of the executive leaders’ strengths, questions, and possible problems related to the change initiative.

Download (doc)

Download (doc)

Leadership Support Action Log Template

The Leadership Support Action Log is used to record all identified leadership and coaching actions.

Download (xls)

Download (xls)

Stakeholder Communication Questionnaire Template

The Stakeholder Communication Questionnaire is used to assess what Stakeholder groups are feeling about the change initiative, what they need and want to know, and how they prefer to receive information. The questionnaire assists the OCM Practitioner in determining communication messages, delivery channels, and preferred senders for different Stakeholder groups. It is designed to help identify key communication events, target audiences, and preferred communication methods and messages.

Download (doc)

Download (doc)

Stakeholder Enrollment Action Log Template

The Stakeholder Enrollment Action Log allows the OCM Practitioner to track the actions in the Stakeholder Enrollment Knowledge Area.

Download (xls)

Download (xls)

Stakeholder Management Plan Template (CA-PMF) The Stakeholder Management Plan describes the processes, procedures, tools, and techniques to effectively engage Stakeholders in project decisions based on Stakeholder needs, interests, and requirements.

Download (doc)

Download (doc)

Stakeholder Register Template (CA-PMF) The Stakeholder Register identifies the individuals and organizations that will impact the project or will be impacted by the project in some way. The term Stakeholder is a very broad term that includes not only the actual project team members but can also include any individuals affected by the changes brought about by the project’s outcome.

Download (doc)

Download (doc)

Team Dynamics Action Log Template The Team Dynamics Action Log allows the OCM Practitioner to track the actions in the Team Dynamics knowledge area.

Download (xls)

Download (xls)

Team Effectiveness Survey Template (CA-PMF) The Team Effectiveness Survey is used by project teams to assess the effectiveness of how the project team works together. Assessing the effectiveness of the team is a way to identify potential issues that may negatively impact team effectiveness and ultimately the success of the project.

Download (doc)

Download (doc)

Team Guidelines Survey Template The Team Guidelines Survey serves as a tool, used by the project team, to assess their progress toward enacting the team’s defines behavior guidelines. The Team Guidelines Survey assists the OCM Practitioner, Project Manager, and project team in identifying guidelines to improve on throughout the project lifecycle.

Download (doc)

Download (doc)

Training Action Log Template The Training Action Log allows the OCM Practitioner to track the actions in the Training Knowledge Area.

Download (xls)

Download (xls)

Training Plan Template The Training Plan serves as a guide for the OCM Practitioner in assessing, planning, developing, delivering, and evaluating end-user training. This document guides the entire training effort, from planning and development to delivery and execution.

Download (doc)

Download (doc)

OCM Executing Process Phase Checklist Template

The checklist identifies the key OCM activities that are to be completed during the Executing Process Phase.

Download (doc)

Download (doc)

Closing Process Phase

Download all templates within the Closing Process Phase.

Download (zip)

Download (zip)

Communication Action Log Template

The Communication Action Log allows the OCM Practitioner and other key individuals to monitor the dissemination of communications and other communication actions.

Download (xls)

Download (xls)

Lessons Learned Template (CA-PMF)

Lessons learned is a form of continuous improvement in which we learn from both the successes and mistakes of prior endeavors. In order for an organization to improve future performance, it is necessary to formally identify, acknowledge, analyze, and document the lessons learned. Collecting lessons learned over time adds to the organization’s body of knowledge related to project management and provides a rich source of information for current and future work. The objective of documenting lessons learned is to identify both the positive and negative lessons learned from the project, as well as to recommend corrective actions based on negative lessons learned observations.

Download (doc)

Download (doc)

Training Action Log Template The OCM Practitioner should capture all training efforts in the Training Action Log. This working document provides a record of training assessment, development, and delivery activities throughout all process phases.

Download (xls)

Download (xls)

Training Effectiveness Survey Template The Training Effectiveness Survey provides an opportunity for course participants to evaluate their training experiences in areas such as usefulness and relevance. The template contains a series of statements which the training participant can use to rate his/her experience.

Download (doc)

Download (doc)

OCM Closing Process Phase Checklist Template

The checklist identifies the key OCM activities that are to be completed during the Closing Process Phase.

Download (doc)

Download (doc)

Chapters

The CA-OCM is comprised of eight chapters. These chapters organize content into logical domains to help readers easily navigate the document. The eight chapters of the OCM framework are:

  • Overview: This initial chapter provides an introduction to the CA-OCM and its purpose and use. It discusses how specific icons and colors are used to facilitate navigation. It also offers a high-level overview of the OCM lifecycle and knowledge areas, which are core elements of the OCM effort.
  • Templates: This chapter contains information about the collection of templates that are available as part of the CA-OCM to help the OCM Practitioner successfully conduct an OCM effort.
  • Concept: This chapter describes initial OCM activities at the inception of a change initiative. The goals of this process phase are to define the change initiative and communicate it to key leaders and Stakeholders.
  • Initiating: This chapter provides guidance on how to identify OCM priorities and schedule OCM activities. In this process phase, the OCM Practitioner engages the Project Sponsor and other key executive leaders and defines the project team behavior guidelines.
  • Planning: This chapter provides recommendations for the OCM effort during the Planning Process Phase. The OCM Practitioner will plan and implement OCM activities, facilitate high level project communications, engage key Stakeholders and leaders, and assist in building the project team.
  • Executing: This chapter provides guidelines for the OCM Practitioner to use throughout the Executing Process Phase when the system development activities begin. The OCM Practitioner works to engage and transition individuals and the organization to the future state.
  • Closing: This chapter details the principles, practices, and tools used during the final process phase. This process phase concludes the formal OCM effort by closing out OCM activities, transitioning remaining OCM responsibilities, and planning for ongoing training needs.
  • Additional Resources: This chapter provides resources to support the CA-OCM. It includes a glossary of project roles and common OCM terms.

Knowledge Areas

The CA-OCM is comprised of six knowledge areas. A knowledge area groups a set of OCM activities that share a common purpose and objective and can span across multiple PMLC process phases. The purpose of the OCM knowledge areas is to group the concepts the OCM Practitioner needs to understand and the associated activities he/she will need to perform. It is important to note that knowledge areas and their associated activities often have interdependencies and interrelationships with other OCM knowledge areas. The six knowledge areas of the CA-OCM are:

  • OCM Lifecycle Management
  • Communication
  • Leadership Support
  • Team Dynamics
  • Stakeholder Enrollment
  • Training

OCM Lifecycle Management focuses on managing the performance of the OCM effort through the planning and scheduling of OCM activities. These activities guide the direction and govern the sequence and resourcing of all other knowledge area activities. OCM Lifecycle Management requires continuous coordination with the Project Manager to ensure the OCM effort is integrated with other project activities and milestones.

Communication focuses on ensuring a common understanding of the change effort through communication and feedback activities. It works to inform and engage those involved with and affected by the change initiative. Communication is a vital component of the OCM effort as it creates awareness and understanding of the change to obtain Stakeholder buy-in and reduce employee resistance.

Leadership Support focuses on ensuring that leadership at all levels demonstrates visible support for the change. Leadership Support activities guide the effort to engage and support all leaders influential to or impacted by the change, from the Project Sponsor to managers and supervisors. These leaders, in turn, provide visible change support and serve as role models to other Stakeholders.

Team Dynamics focuses on creating and maintaining high performing teams. Team Dynamics activities are tailored around team and individual expectations and guidelines and are designed to create a positive and collaborative working environment. Team Dynamics may focus on the project team and sub teams, or any other collaborative group.

Stakeholder Enrollment focuses on ensuring Stakeholder buy-in. Stakeholders include persons or groups who are directly or indirectly affected by a project, as well as those who may have the ability to influence its outcome. Stakeholder Enrollment builds on the Stakeholder identification, analysis, and management activities that are prescribed by the CA-PMF. Efforts in this knowledge area serve to connect with Stakeholders at all levels to ensure they are informed and accepting of the change initiative.

Training focuses on ensuring end users have the necessary knowledge, skills, and abilities (KSAs) they need to transition and be successful in a new environment. Activities in this knowledge area plan for, build, and implement a training program that allows end users to be better prepared to adopt the new system.

Tailoring Your OCM Efforts

The CA-OCM provides guidance on when specific knowledge area activities should occur during a project and aligns them with the PMLC, however, each OCM Practitioner will need to determine the relative applicability and timing of each knowledge area for their organization and project. Guidance on how to approach tailoring OCM efforts to specific projects and project needs is provided throughout the CA-OCM.

The figure below depicts a single, overarching goal for each knowledge area in addition to specific knowledge area goals within each process phase where there are associated activities.

Key Elements

The CA-OCM contains seven categories of information to help the OCM Practitioner navigate the framework. These categories, referred to as key elements, include:

  • Recommended Practices: Techniques or methods that, through experience and research, help achieve a desired result.
  • Inputs: Information and/or documents that feed into a process.
  • Roles: Roles for project Stakeholders, including a list of key responsibilities associated with process phase and knowledge area activities.
  • Skills: Special or unique human expertise that should be applied to achieve a successful project outcome.
  • Activities: Actions or activities for the OCM Practitioner to undertake.
  • Tools: Templates or other resources to help create project outputs. Templates are documents that have been pre-developed for project use.
  • Outputs: Work products that are developed.

FAQ

The following list of Frequently Asked Questions (FAQ) questions have been developed to help you navigate the CA-OCM. If you have a question that is not addressed, feel free to contact us.

1. What is OCM and do I need it?

OCM stands for Organizational Change Management. OCM is a discipline that helps organizations implement change initiatives by applying structure and thoughtful consideration to activities that lead the people within an organization through the transition. Any change initiative that affects the people within an organization can benefit from OCM. Incorporating OCM practices in your project plan will help your organization manage the people side of change.

2. What is the purpose of the CA-OCM?

The purpose of the CA-OCM is to assist organizations in managing the people-side of change in order to achieve business outcomes associated with that change. OCM facilitates the transition of individuals, teams, and organizations to a future state to achieve business benefits. While the CA-OCM is written in the context of information technology (IT) implementation efforts, it is applicable to any type of project that requires an organization, its groups, and its people to change.

3. What is the audience of the CA-OCM?

The intended audience for the CA-OCM includes project practitioners involved in initiatives that affect the people within an organization. The CA-OCM provides helpful information to the Project Sponsor, project participants, and Stakeholders regarding OCM concepts and best practices. The guidance and advice contained in the CA-OCM emphasizes the importance of people skills, good judgment, and effective communications in the successful delivery of projects.

4. How was the CA-OCM developed?

The CA-OCM was developed by the California Project Management Office (CA-PMO) of the California Department of Technology (CDT) to provide a practical guide for managing change within an organization.

5. Are Agencies and state entities (including their vendors or contractors) required to use the CA-OCM even though they may have their own or other tools?

The use of the CA-OCM is not mandated, but it does provide a foundation of best practice guidance for state organizations to leverage when undergoing an OCM effort. This is unlike the CA-PMF where agencies and state entities must follow the CA-PMF unless they have an alternative PMBOK-based framework that is comparable, as stated in 4819.31 of SAM Section 4800.

6. How does the CA-OCM relate to the CA-PMF?

The CA-OCM aligns with the CA-PMF and other frameworks that support the project delivery effort. CA-OCM activities span the Project Management Lifecycle (PMLC) and are grouped within PMLC process phases like the CA-PMF. It is important to recognize the integration points among the different frameworks and their associated lifecycles.

7. How does the CA-OCM relate to the Project Approval Lifecycle (PAL)?

The PAL is the state’s process for approving IT projects. The PAL is intended to ensure projects are undertaken with clear business objectives, accurate costs, and realistic schedules. The CA-OCM provides guidance that can be leveraged when preparing materials required by PAL in areas that address organizational change management.

8. I have a question that is not addressed regarding the CA-OCM. Who can I contact?

Feel free to contact us.

Related Frameworks

The CA-OCM aligns with the CA-PMF and other frameworks that support the project implementation effort. CA-OCM activities span the PMLC and are grouped within PMLC process phases. It is important to recognize the integration points among the different frameworks and their associated lifecycles. The OCM lifecycle refers to a series of activities that are conducted to address the people-side of a change initiative. Access related frameworks here or at http://projectresources.cdt.ca.gov.