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Identifying and Overcoming  Roadblocks to Change Systems and Software Technology Conference 20-23 April 2009 Rick Hefner N...
Background <ul><li>Are you struggling to get process improvement to take hold in your organization? </li></ul><ul><ul><li>...
Agenda <ul><li>What is Organizational Change Leadership </li></ul><ul><li>Common Change Problems </li></ul><ul><ul><li>Lac...
Organizational Change in Context Desired State Transition State Time Change Strategy Managing Change Present State Product...
Phases of Change Energy Invested End of the old Source: Bridges 1988, Kubler-Ross 1969 Time Status quo Stunned paralysis D...
Organizational Change… <ul><li>Management  vs. </li></ul><ul><li>Drafting plans </li></ul><ul><li>Establishing baselines <...
Problem #1 - Lack of Alignment <ul><li>Examples: </li></ul><ul><li>Change goals not tied to stated business strategy, curr...
Communicating to Your Teams <ul><li>Can you describe the key reasons why we are doing this? </li></ul><ul><li>We have spec...
Key Messages that Must Be  Communicated <ul><li>CMMI is a a set of proven, industry best-practices </li></ul><ul><ul><li>A...
What’s the Vision –  Do you have it? Marketing will have a competitive edge with certification CMMI Level 3 Lower Costs Le...
Problem#2 - Siloed Thinking <ul><li>Examples: </li></ul><ul><li>Allowing personal ambitions to rule </li></ul><ul><ul><li>...
Problem#3 – Decision Dysfunction <ul><li>Examples: </li></ul><ul><li>Who gets to make the decision (in the absences of tot...
PI Governance Structure Division Executive Unit Manager Unit Manager Unit Manager Development Manager Development Manager ...
Enterprise Governance Structure People Critical Business Process Steering Committees Executive Team Cross - Functional Vet...
Problem#4 – Not Seeing it Through  <ul><li>Examples: </li></ul><ul><li>Lack of (real) short-term wins </li></ul><ul><li>Th...
What Institutionalization Is <ul><li>“ When mentioned in the generic goal and generic practice descriptions, institutional...
Common Features –  A Lost Perspective in CMMI v1.2! RH Commitment to Perform GP 2.1 Establish an Organizational Policy Abi...
Problem#5 – Missing Measurement <ul><li>Examples: </li></ul><ul><li>Not capturing a baseline first </li></ul><ul><li>No ac...
Assessing Change Readiness <ul><li>For the organization… </li></ul><ul><li>Current Culture </li></ul><ul><ul><li>Change is...
Knowledge is Power <ul><li>What to do with this? </li></ul><ul><li>If you are leading a change/improvement program: </li><...
Summary <ul><li>Change is  predictability difficult </li></ul><ul><li>Change must be tackled at the  organizational  and  ...
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Identifying and Overcoming Roadblocks to Change

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How many dedicated improvement program leaders have pushed the proverbial boulder up the hill only to watch it roll back down, sometimes flattening the change agents and even the executive sponsor in the process? Why do we focus on the management of change (e.g., the models, processes, methods, plans and tactics) and fail to acknowledge and address the importance of cultural barriers and change leadership? This presentation will explain how to identify and overcome common roadblocks to successful change, including lack of alignment, siloed thinking, decision dysfunction, execution and endurance problems, and missing measurements.
Learning Objectives:
Understand the difference between managing and leading change efforts
Discuss the symptoms of barriers to change, the root causes, and how to address them
Learn how to perform a critical assessment of &quot;change readiness&quot; and use the findings to plan for the change
Learn how to tailor your improvement plans based on organizational readiness and maturity

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  • Identifying and Overcoming Roadblocks to Change Rick Hefner, Northrop Grumman Corporation Beth Layman, Layman &amp; Layman 2009 Systems and Software Technology Conference Abstract (94 words) How many dedicated improvement program leaders have pushed the proverbial boulder up the hill only to watch it roll back down, sometimes flattening the change agents and even the executive sponsor in the process? Why do we focus on the management of change (e.g., the models, processes, methods, plans and tactics) and fail to acknowledge and address the importance of cultural barriers and change leadership? This presentation will explain how to identify and overcome common roadblocks to successful change, including lack of alignment, siloed thinking, decision dysfunction, execution and endurance problems, and missing measurements. Learning Objectives: Understand the difference between managing and leading change efforts Discuss the symptoms of barriers to change, the root causes, and how to address them Learn how to perform a critical assessment of &amp;quot;change readiness&amp;quot; and use the findings to plan for the change Learn how to tailor your improvement plans based on organizational readiness and maturity Bios Dr. Rick Hefner has over 30 years of experience in software development, research, and management, and has served in industrial, academic, and government positions.  He has over 80 publications and conference presentations, and is an SEI-authorized Instructor, CMMI Lead Appraiser, and Six Sigma Black Belt. Dr. Hefner currently serves as the Director of Process Management at Northrop Grumman. Northrop Grumman has been an industry leader in CMMI adoption, and over 40 Northrop Grumman organizations have been externally appraised at CMMI Level 5. Beth Layman is a successful process improvement consultant, facilitator, instructor, and coach with over 25 years of experience in the high tech sector. She is a recognized authority on measurement, a published author, and a popular speaker. Her experience encompasses a wide range of commercial, government, aerospace, and product software organizations. Beth has a track record of providing high value consulting services yielding tangible results to satisfied clients. She has worked both independently and with the Quality Assurance Institute, TeraQuest Metrics, Inc., McCabe and Associates, Software Quality Engineering, and other consulting firms to provide training and interactive workshops, assessments, management consulting, and coaching in process definition, management, and improvement, software and performance measurement, project and portfolio management, software quality assurance, and other software engineering methods. Beth&apos;s consulting credentials are supported by time spent in industry as an individual contributor, change agent and senior executive. Early in her career, she worked for software product and IT organizations as a programmer, analyst, project coordinator, and quality assurance manager. She was COO of TeraQuest and helped manage the acquisition and successful integration of the company. Recently, she worked inside Borland Software and McAfee Software to establish worldwide employee development, software and business process improvement, and enterprise-level portfolio management programs and project management offices. Beth is an SEI Authorized CMMI® Lead Appraiser and is co-author of Practical Software Measurement: Objective Information for Decision Makers . 
  • Defining Organizational Change Management = Successfully managing the changing of something that’s currently being done (or not being done) within the organization So what’s the overall process? To leave the present state, the organization needs to modify something that’s being done (or not being done), go through a stage of unlearning and learning , then become comfortable with the new way of doing things. This shows change as “unfreezing and then re-freezing” the organization. “Freezing” the new way takes time and effort, and productivity generally suffers in the transition. Present State – where we currently are. A need has been identified for a change (capability improvement) Transition State – the disruption that WILL happen. There will be a loss of productivity when the organization is transitioning. Change management is about managing the amount of time and money spent in transition. There’s an Ice Cube demonstration that provides a metaphor for how to best conduct transition: Have two ice cubes #1 –put ice cube on ground and smash it with your heel (or hammer) #2 - hold the other ice cube in your palm and let it melt slowly into a bowl These represent 2 ways change transition can happen. Which is easier to put back together? Desired State – Change has been implemented and business value has been returned. The desired state is at a higher productivity level.
  • Another definition is “The altering of people’s actions and behaviors -- evidenced by choices made , not intentions espoused .” Highlights that fact that change is both individual and organizational
  • We spend a lot of time talking about the how to’s of process improvement and measurement. That is all fine and good, but one thing I’ve discovered with age and experience is that we (me included) spend too much time on the management of change and fail to address the critically important, harder, and albeit, softer, side – that of change leadership .
  • By Lack of Alignment, I mean that the change initiative is not shown to be connected to or in perfect alignment with (e.g., supporting) the achievement of the higher levels goals of the enterprise. “Because it’s the right thing to do” is not an answer! Why is it right? How is it connected to X? How does it support Y?
  • Obvious solution – think it out and write it down, then communicate the heck out of it – 7 times – 7 ways. In my role as a process improvement coach and consultant, I often coach the management team – in this case, I played jeopardy with them during one of their meetings – I had a series of prepared questions and answers. One example of something I challenged to be able to answer and communicate to their staff is shown here.
  • Another way is to provide a visual of the “vision”. This communicates the rationale with a few expectations thrown in – more change, not less, for example. Notice that the outcomes align with both corporate goals and with individual goals.
  • Change almost always spills over organizational boundaries – this is part of what makes it so hard. If people weren’t involved, this would all be so easy, right?  A clear indication of siloed thinking is when you find little/no cross-functional teams or committees of any kind – RUN! This is a senior leadership failure of magnitude 10 on the rictor scale. Allowing personal ambitions to rule – when each department is it’s own fiefdom; when each manager is allows to care only about how good they look Story of BPR – order operations – if we just could make the quote department do x
  • Examples: IT Portfolio Management without proper governance structure
  • Example 1 of 2 of Decision Dysfunction For a larger organization, there might be executive oversight as well, and the PI Leadership Group might function for the whole organization -- or the structure from MSG down might be repeated across major divisions or departments. The representation on the PATs depends on how far across the organization the processes will span.
  • Example 2 of 2 of Decision Dysfunction Enterprise Portfolio Management requires a similar structure with upper and middle management and cross-functional project teams that are spawned based on the proposals selected. The Vetting Committee needs a charter and processes for things like proposal evaluation and selection. The Steering Committees need charters and processes for things like developing a long-term improvement roadmap and proposal. And, of course, the projects need a full set of charters and governance/processes.
  • People will become even more skeptical if you try to feed them a line of bull about having achieved something if you haven’t and don’t have data – in God we trust, all others bring data.
  • Senny-quanon - An essential or indispensible element. Sine – without Qua – that/which Non - nothing
  • Transcript of "Identifying and Overcoming Roadblocks to Change"

    1. 1. Identifying and Overcoming Roadblocks to Change Systems and Software Technology Conference 20-23 April 2009 Rick Hefner Northrop Grumman Corporation Beth Layman Layman & Layman
    2. 2. Background <ul><li>Are you struggling to get process improvement to take hold in your organization? </li></ul><ul><ul><li>Process Improvement Leaders </li></ul></ul><ul><ul><li>Line Managers </li></ul></ul><ul><li>If so, where is your focus? </li></ul><ul><ul><li>Management of change (models, processes, methods, plans, tactics)? </li></ul></ul><ul><ul><li>Cultural barriers and change leadership? </li></ul></ul><ul><li>This presentation will explain how to identify and overcome common roadblocks to successful change, including lack of alignment, siloed thinking, decision dysfunction, execution and endurance problems, and missing measurements </li></ul>RH
    3. 3. Agenda <ul><li>What is Organizational Change Leadership </li></ul><ul><li>Common Change Problems </li></ul><ul><ul><li>Lack of Alignment </li></ul></ul><ul><ul><li>Siloed Thinking </li></ul></ul><ul><ul><li>Decision Dysfunction </li></ul></ul><ul><ul><li>Not Seeing it Through </li></ul></ul><ul><ul><li>Missing Measurement </li></ul></ul><ul><li>Assessing Change Readiness & Maturity </li></ul><ul><li>Tailoring Your Improvement Plans </li></ul>RH
    4. 4. Organizational Change in Context Desired State Transition State Time Change Strategy Managing Change Present State Productivity
    5. 5. Phases of Change Energy Invested End of the old Source: Bridges 1988, Kubler-Ross 1969 Time Status quo Stunned paralysis Denial Anger, rage Bargaining Depression Acceptance Exploration End of the old Beginning of the new RH
    6. 6. Organizational Change… <ul><li>Management vs. </li></ul><ul><li>Drafting plans </li></ul><ul><li>Establishing baselines </li></ul><ul><li>Selecting models and frameworks </li></ul><ul><li>Committing/securing resources to do work </li></ul><ul><li>Designing solutions </li></ul><ul><li>Monitoring and controlling progress </li></ul><ul><li>Leadership </li></ul><ul><li>Creating a Shared Vision </li></ul><ul><li>Communicating vision and expectations </li></ul><ul><li>Being honest (not just “happy talk”) </li></ul><ul><li>Handling resistance and dysfunction </li></ul><ul><li>Recognizing and rewarding the right behaviors </li></ul>transactors transformers
    7. 7. Problem #1 - Lack of Alignment <ul><li>Examples: </li></ul><ul><li>Change goals not tied to stated business strategy, current priorities or CEO focus </li></ul><ul><li>Change Leaders can’t/don’t sufficiently communicate the vision and its connections </li></ul><ul><ul><li>Per Kotter – “We underestimate the power of vision” </li></ul></ul><ul><li>Folks trying to make the changes carry the weight without any energy supplements </li></ul><ul><ul><li>Every decision is hard without direction/inspiration </li></ul></ul>Source: Leading Change, Kotter 1996
    8. 8. Communicating to Your Teams <ul><li>Can you describe the key reasons why we are doing this? </li></ul><ul><li>We have specific plans to grow </li></ul><ul><ul><li>To reduce new hire ramp-up need common language (steps, roles, deliverables, tools) </li></ul></ul><ul><li>We need proven, repeatable processes </li></ul><ul><ul><li>New programs perform like established programs out of the gate </li></ul></ul><ul><ul><li>Deliver more value to clients </li></ul></ul><ul><ul><li>Reduce risks & overruns and maximize profits </li></ul></ul><ul><li>We need CMMI Level 3 Rating </li></ul><ul><ul><li>Opens doors to bid on and win new contracts (and increase revenues) </li></ul></ul><ul><ul><li>Other divisions will bootstrap their own PI efforts with our processes and process improvement expertise </li></ul></ul>
    9. 9. Key Messages that Must Be Communicated <ul><li>CMMI is a a set of proven, industry best-practices </li></ul><ul><ul><li>Adoption is about learning how to apply these practices to our work </li></ul></ul><ul><ul><li>The practices may feel awkward and have limited value until we learn them </li></ul></ul><ul><ul><li>It’s OK to make mistakes – we will get better over time </li></ul></ul><ul><li>CMMI involves short-term investment for long-term gain </li></ul><ul><ul><li>Achieving and maintaining mature processes is essential to meeting our business goals </li></ul></ul><ul><li>CMMI is an enabler (not a guarantee) of project success </li></ul><ul><ul><li>Other aspects (people, technology, customer relationship, etc.) are also important </li></ul></ul><ul><ul><li>The value is often risk reduction (which may be difficult to measure) </li></ul></ul><ul><li>When the entire organization is behaving maturely, everyone’s job becomes easier </li></ul><ul><li>Continuous improvement is a way of life </li></ul>RH
    10. 10. What’s the Vision – Do you have it? Marketing will have a competitive edge with certification CMMI Level 3 Lower Costs Less Rework/Waste More Reuse Higher Quality Predictable Results Our Company Programs will Perform better Outcomes New Clients Division Growth New Faces New Opportunities ` Culture More Change, Not Less Change is Good! Culture Clear Roles Confident Staff Empowered Teams
    11. 11. Problem#2 - Siloed Thinking <ul><li>Examples: </li></ul><ul><li>Allowing personal ambitions to rule </li></ul><ul><ul><li>Unwilling to give up power/control </li></ul></ul><ul><ul><li>Performance narrowly measured & rewarded </li></ul></ul><ul><ul><ul><li>Competing vs. cooperating </li></ul></ul></ul><ul><li>Allowing poor coordination to persist (“weak matrix”) </li></ul><ul><ul><li>Collaboration is frowned upon </li></ul></ul><ul><ul><li>Clearly defining the interfaces is not part of improvement program </li></ul></ul><ul><li>Ignoring interdependencies </li></ul><ul><ul><li>Change has intended and unintended effects </li></ul></ul>
    12. 12. Problem#3 – Decision Dysfunction <ul><li>Examples: </li></ul><ul><li>Who gets to make the decision (in the absences of total consensus)? </li></ul><ul><li>How much authority do you have? </li></ul><ul><li>What are the boundaries? </li></ul><ul><li>Invisible Infrastructure </li></ul><ul><li>Vague Roles </li></ul>
    13. 13. PI Governance Structure Division Executive Unit Manager Unit Manager Unit Manager Development Manager Development Manager Development Manager Individual Staff Individual Staff Individual Staff Project Manager Project Manager Project Manager Management Steering Group Process Group Process Action Team Executive Leadership Group
    14. 14. Enterprise Governance Structure People Critical Business Process Steering Committees Executive Team Cross - Functional Vetting Committee M&A Council Product Council Process Technology Campaign To Lead Lead to Quote Quote to Cash Accounting to Reporting Recruit to Separate Order to Fulfillment Incident to Close Target to Integration Strategy to End of Life Mktg Sales Ops Fin HR TS MNF M&A R&D Enterprise Project Team A Enterprise Project Team C Enterprise Project Team B Investment Council RH+
    15. 15. Problem#4 – Not Seeing it Through <ul><li>Examples: </li></ul><ul><li>Lack of (real) short-term wins </li></ul><ul><li>The difference between acceptance and action </li></ul><ul><li>Celebrating too soon </li></ul><ul><li>Withdrawing support after initial push </li></ul><ul><li>Losing interest </li></ul><ul><li>Backsliding is allowed </li></ul>RH+
    16. 16. What Institutionalization Is <ul><li>“ When mentioned in the generic goal and generic practice descriptions, institutionalization implies that the process is ingrained in the way the work is performed and there is commitment and consistency to performing the process. </li></ul><ul><li>An institutionalized process is more likely to be retained during times of stress.” </li></ul><ul><li>GP 2.1 Establish an Organizational Policy </li></ul><ul><li>GP 2.2 Plan the Process </li></ul><ul><li>GP 2.3 Provide Resources </li></ul><ul><li>GP 2.4 Assign Responsibility </li></ul><ul><li>GP 2.5 Train People </li></ul><ul><li>GP 2.6 Manage Configurations </li></ul><ul><li>GP 2.7 Identify and Involve Relevant Stakeholders </li></ul><ul><li>GP 2.8 Monitor and Control the Process </li></ul><ul><li>GP 2.9 Objectively Evaluate Adherence </li></ul><ul><li>GP 2.10 Review Status with Higher Level Management </li></ul><ul><li>GP 3.1 Establish a Defined Process </li></ul><ul><li>GP 3.2 Collect Improvement Information </li></ul>Institutionalization: The ingrained way of doing business that an organization follows routinely as part of its corporate culture. - CMMI-DEV v1.2 RH
    17. 17. Common Features – A Lost Perspective in CMMI v1.2! RH Commitment to Perform GP 2.1 Establish an Organizational Policy Ability to Perform GP 2.2 Plan the Process GP 2.3 Provide Resources GP 2.4 Assign Responsibility GP 2.5 Train People GP 3.1 Establish a Defined Process Verifying Implementation GP 2.9 Objectively Evaluate Adherence GP 2.10 Review Status with Higher Level Management Directing Implementation GP 2.6 Manage Configurations GP 2.7 Identify and Involve Relevant Stakeholders GP 2.8 Monitor and Control the Process GP 3.2 Collect Improvement Information
    18. 18. Problem#5 – Missing Measurement <ul><li>Examples: </li></ul><ul><li>Not capturing a baseline first </li></ul><ul><li>No accountability for the validation of ROI </li></ul><ul><li>Lack of interim progress measures </li></ul><ul><ul><li>Where are we against vision? </li></ul></ul><ul><ul><li>What level of institutionalization exists? </li></ul></ul>RH
    19. 19. Assessing Change Readiness <ul><li>For the organization… </li></ul><ul><li>Current Culture </li></ul><ul><ul><li>Change is norm, cross-functional, aligned goals, reward structure </li></ul></ul><ul><li>Change History </li></ul><ul><ul><li>Number, breadth, depth of successful past changes </li></ul></ul><ul><ul><li>Failures/lessons learned </li></ul></ul><ul><li>For the specific initiative… </li></ul><ul><li>Vision </li></ul><ul><ul><li>Defined, aligned, communicated… </li></ul></ul><ul><li>Plans and Expectations </li></ul><ul><ul><li>Expectations re: time to change (what is timeline) </li></ul></ul><ul><ul><li>Expectations re: resistance to change </li></ul></ul><ul><ul><li>Complexity (breadth/depth) of planned change </li></ul></ul><ul><li>Change Team (by key role) </li></ul><ul><ul><li>Level of personal belief in change, chg mgt experience, communication skills, opinion leadership, openness, team players… </li></ul></ul><ul><li>Infrastructure </li></ul><ul><ul><li>Long-term personnel support budgeted, technology/tool support </li></ul></ul><ul><ul><li>Systems exist - Training, Process Mgt, Reviews, Measures… </li></ul></ul>Change Capability/Maturity can be determined. RH
    20. 20. Knowledge is Power <ul><li>What to do with this? </li></ul><ul><li>If you are leading a change/improvement program: </li></ul><ul><ul><li>Conduct an honest, objective assessment of change readiness and your “change maturity” level </li></ul></ul><ul><ul><li>Use results to tailor the improvement roadmap </li></ul></ul><ul><ul><ul><li>Big or sweeping changes may not be possible </li></ul></ul></ul><ul><ul><ul><li>May need to build in additional support to remove roadblocks </li></ul></ul></ul>RH
    21. 21. Summary <ul><li>Change is predictability difficult </li></ul><ul><li>Change must be tackled at the organizational and individual level </li></ul><ul><li>Change management is a must, but will fail without change leadership </li></ul><ul><ul><li>– it’s the sine qua non of successful change! </li></ul></ul>Beth Layman, Layman & Layman Phone: 321.777.2914 Email: [email_address] Web: www.laymanandlayman.com Rick Hefner, Northrop Grumman Phone: 310.812.7290 Email: rick.hefner@ngc.com
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