Introducing & Sustaining Change - 2010 SEPG

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This workshop will provide practical approaches, tools, and techniques for introducing and sustaining change in your organization. Successful change requires the right combination of strategy, …

This workshop will provide practical approaches, tools, and techniques for introducing and sustaining change in your organization. Successful change requires the right combination of strategy, structure, and support. Your chances of success depend on your current culture, the desired end state, the resources available, and the past response to change. Special attention will be paid to influencing change without direct authority. This workshop will be useful to anyone looking to jump-start improvement, revitalize a failing initiative, or maintain a maturity level.

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  • 1. Introducing and Sustaining Change
    Professional Development Workshop
    SEPG North America
    22-25 March 2010
    Rick Hefner
    Director, Process Assurance
    Northrop Grumman Corporation
  • 2. Background
    Successful change requires the right combination of strategy, structure, and support
    Your chances of success depend on your current culture, the desired end state, the resources available, the past response to change , and your ability to recognize and address resistance
    This workshop will provide practical approaches, tools, and techniques for introducing and sustaining change in your organization
    2
    This presentation reproduces the “IDEAL Model Graphic” copyright 1997-2009 by Carnegie Mellon University, with special permission from its Software Engineering Institute.
    ANY MATERIAL OF CARNIEGIE MELLON UNIVERSITY AND/OR ITS SOFTWARE ENGINEERING INSTITUTE CONTAINED HERIN IS FURNISHED ON AN “AS-IS” BASIS. CARNIEGIE MELLON UNIVERSITY MAKES NO WARRANTIES OF ANY KIND, EITHER EXPRSSED OR IMPLIED, AS TO ANY MATTER INCLUDING, BUT NOT LIMITED TO, WARRANTY OF FITNESS FOR PURPOSE OR MECHANTABILITY, EXCLUSIVITY, OR RESULTS OBTAINED FROM USE OF THE MATERIAL. CARNIEGIE MELLON UNIVERSITY DOES NOT MAKE ANY WARRANTY OF ANY KIND WITH RESPECT TO FREEDOM FROM PATENT, TRADEMARK, OR COPYRIGHT IMFRINGEMENT.
    This presentation has not been reviewed nor is it endorsed by Carnegie Mellon University or its Software Engineering Institute.
    IDEAL is a service mark of Carnegie Mellon University. CMMI is registered in the U.S. Patent and Trademark Office by Carnegie Mellon University.
  • 3. The IDEALSMModel
    3
    Source: “IDEAL: A Users Guide for Software Process Improvement”, Robert McFeeley, CMU/SEI-96-HB-001, Feb 1996, used with permission
  • 4. The Non-IDEAL Model
    4
    Management sets a goal of achieving “Level x by date Y”
    SEPG assigned the task with a fixed budget
    The projects listen politely (perhaps) to the SEPG plans and schedules, but either ignore the requests for action or provide a minimal response
    SEPGdevelops plans and schedules
  • 5. Topics
    Necessary ingredients for change
    Why people resist change
    Effective strategies for addressing resistance
    Assessing your organization’s capability to change
    Keys to leading the change
    Explaining the value of every practice
    Management support
    Influence without authority
    Keys to sustaining the change
    5
  • 6. Maslow’s Hierarchy of Needs
    Opportunities for innovation and creativity, learning and creating
    Recognition from others, prestige and status
    Being part of a group, identification with a team
    Economic security, freedom from threats
    Physical survival needs: food, water, shelter, etc.
    6
  • 7. Why Do People Resist Change?
    I want to stay where I am because…
    …my needs are already met here
    …I have invested heavily here
    ...I am in the middle of something important
    I do not want to change because…
    …the destination looks worse than where I am now
    …there is nothing to attract me forwards
    …I do not know which way to move
    …the journey there looks painful
    ...the destination or journey is somehow bad or wrong
    …I do not trust those who are asking me to change
    I am not going to change because…
    …I am able to ignore the change
    …I have the power to obstruct the change
    7
  • 8. Why Do People Resist Change?Perceived Loss of Personal Power
    8
    so they must not be essential industry best practices!
    Here’s the new CMMI®practices you need to start implementing.
    then I’ve been wrong….
    and I haven’t been performing them….
    If these are essential industry best practices…
  • 9. Assessing your Change Targets
    Beliefs - Basic drivers of thought and behavior
    What beliefs do they have about themselves? Their work?
    How strongly do they hold these beliefs?
    What are the beliefs that they have that led them to oppose the change?
    What beliefs do they have that could be used to help convert them?
    Values - Guides for what is good/bad, important/unimportant
    Are any of their values being violated by change actions?
    What are their stress values? Are these being violated?
    What values can you appeal to, to persuade them to change?
    Goals - Objectives we set to satisfy values and needs
    What are they on Maslow’s hierarchy of needs?
    Career goals? Social goals? Other goals?
    How are their goals affected by the change?
    9
  • 10. Assessing your Change Targets (continued)
    Perceptions – Their personal reality
    What do they think will happen because of the change?
    What are their perceptions of those implementing the change? Do they think the change agents will be fair? Do they think they are competent?
    Potential - What they can and are likely do to oppose the change
    What power do they have? Source of that power? (position, expertise, social, etc.)
    How might they use that power? (blocking, persuading others, etc.)
    Triggers - Those events that would tip them into action
    What would cause them to use their power? (events, actions, etc.)
    What would inhibit them beforehand? (involvement, listening, etc.)
    What would inhibit them after they had started resisting? (listening, threats, etc.)
    Who do they listen to? (friends, social leaders, senior people, etc.)
    10
  • 11. Stakeholder Analysis
    Identify key stakeholders
    Plot current stakeholders feelings regarding desired change (O = current)
    Plot needed stakeholder feelings (X = needed) in order to successfully accomplish desired change
    Indicate how individuals link to each other; use arrows to indicate who influences whom
    Identify actions for closing gaps
    11
  • 12. Reaction to Change Perceived as Negative:Kübler-Ross Grief Cycle
    12
    Immobilization: Initial paralysis at hearing the bad news
    Denial: Trying to avoid the change
    Anger: Frustration, outpouring of bottled-up emotion
    Bargaining: Seeking for a way out
    Depression: Final realization of the inevitable
    Testing: Seeking realistic solutions
    Acceptance: Finally finding the way forward
  • 13. Reaction to Change Perceived as Positive
    13
  • 14. Willingness to Change
    Early adopters are motivated by perceived benefits
    Late adopters are motivated by avoiding pain
    14
    Source: Geoffrey A. Moore, Crossing the Chasm, 1999, used with permission
  • 15. Exercise: Stakeholder Analysis
    Identify key stakeholders
    Plot current (O) and Desired feelings regarding change
    Identify grief state
    Identify willingness to change state
    15
  • 16. Topics
    Necessary ingredients for change
    Why people resist change
    Effective strategies for addressing resistance
    Assessing your organization’s capability to change
    Keys to leading the change
    Explaining the value of every practice
    Management support
    Influence without authority
    Keys to sustaining the change
    16
  • 17. Why Do People Resist Change?
    I want to stay where I am because…
    …my needs are already met here
    …I have invested heavily here
    ...I am in the middle of something important
    I do not want to change because…
    …the destination looks worse than where I am now
    …there is nothing to attract me forwards
    …I do not know which way to move
    …the journey there looks painful
    ...the destination looks/feels wrong
    …I do not trust those who are asking me to change
    I am not going to change because…
    …I am able to ignore the change
    …I have the power to obstruct the change
    17
  • 18. Different Approaches for Different States
    18
  • 19. Address the Underlying Beliefs
    Sponsors and performers must have a strong vision of the desired culture
    What are my roles and responsibilities?
    What changes in behavior are required?
    What are the underlying beliefs and values?
    How do I benefit – WIIFM?
    Covert level
    Culture
    Ethics Values Norms
    Attitudes Beliefs Priorities
    Opinions Behavior Conduct Do & Don’ts
    Intermediate level
    Overt level
    19
  • 20. Communicate the Key Messages
    CMMI®is a set of proven, industry best-practices
    Adoption is about learning how to apply these practices to our work
    The practices may feel awkward and have limited value until we learn them
    It’s OK to make mistakes – we will get better over time
    CMMI®involves short-term investment for long-term gain
    Achieving and maintaining mature processes is essential to meeting our business goals
    CMMI®is an enabler (not a guarantee) of project success
    Other aspects (people, technology, customer relationship, etc.) are equally important
    The value is often risk reduction (which may be difficult to measure)
    When the entire organization is behaving maturely, everyone’s job becomes easier
    Continuous improvement is a way of life
    20
  • 21. Address Fear of Failure
    The risk of change may be seen as greater than the risk of standing still
    Making a change requires a leap of faith
    The perceived loss of personal power
    I’m seen as competent now, but in a new culture…
    Effective Strategies
    Clearly describe why the situation favors change
    Business goals, WIIFM
    Engage the rational mind first (the emotional mind will follow)
    Make it clear initial mistakes are expected and will be tolerated
    Create forums for asking and answering questions
    Show people how they can be effective in the changed environment
    21
  • 22. Encourage and Support
    Practitioners may feel they don’t have time to learn new ideas
    Practitioners may need role models
    Most change agents don’t need role models, because they easily imagine new situations
    Effective Strategies
    Ensure adequate resources during the learning curve
    CMMI®practices reduce costs in the long run – short term investment for long term gain
    Search out and publicize good examples and successes
    Set up pilot programs that model the change
    Encourage the next step in the change process
    Ensure management takes accountability for action
    Must change short term priorities to achieve long term results
    22
  • 23. Ensure Accountability
    Adopting and sustaining CMMI®is about each practitioner learning and performing the new behaviors
    The role of management in cultural change is to hold people accountable for the new behaviors and conduct
    Effective Strategies
    Change agents can enable management by:
    Helping them have a clear vision of the new culture
    Identifying inappropriate behavior
    Providing tangible, objective measures of adoption/sustainment
    23
  • 24. Help Them Accept Change
    Healthy skeptics may improve an idea
    People may fear hidden agendas
    Late adopters often look for messages in how resistance is handled
    Effective Strategies
    Set up mechanisms for obtaining feedback
    Some will prompt genuine improvements
    Some will be based more on fear and anger than substance
    Be honest about setbacks and negative impacts
    Management must be willing to enforce change, in the face of objections
    Consensus will almost never be reached
    Communicate that objections and uncertainty does not eliminate the need for change - "The dogs may bark, but the caravan goes on."
    24
  • 25. When Faced with Unexpected Resistance
    Stop
    The natural tendency of many people is to respond immediately, with an authoritarian or angry response
    This may generate sympathy, galvanize the resistance, and/or make it covert
    Look
    Pause, assess the situation, and diffuse the emotion
    What is the person’s emotional state?
    Listen
    Is this a misunderstanding or a legitimate concern?
    What does their message say about their underlying beliefs, values, goals, perceptions, potential, triggers?
    25
  • 26. Exercise: Action Plan
    Revisit the stakeholder analysis and determine an action plan for each of the stakeholders
    26
  • 27. Topics
    Necessary ingredients for change
    Why people resist change
    Effective strategies for addressing resistance
    Assessing your organization’s capability to change
    Keys to leading the change
    Explaining the value of every practice
    Management support
    Influence without authority
    Keys to sustaining the change
    27
  • 28. A Typical Interchange
    CMMI®Change Agent
    CMMI®Change “Target”
    “You’re not doing practice X”
    “You must do that practice to satisfy CMMI®”
    “Practice X adds value”
    “Well, it’s in the CMMI®,so it must be important”
    “Well…, you have to do the practice or you’ll fail the appraisal!”
    “So.”
    “The customer didn’t say we have to do practice X”
    “How?
    “Practice X doesn’t make sense for us – we’re special”
    “$^&*&%!!!!!”
    28
  • 29. Explaining the Value of Every Practice
    The CMMI®is a model of industry best-practices for engineering products
    When an organization decides to adopt CMMI®, they commit to performing these best-practices
    Different than a customer-driven process, where you simply do what the customer asks you to do
    You are performing practices in the best way known in industry
    “Best” implies predictably producing products of acceptable quality at the lowest possible cost and schedule
    29
  • 30. Underlying Principles of CMMI®
    Process discipline leads to predictable project performance
    Say what you do; do what you say
    Document the plans/processes
    Communicate them to the performers and stakeholders
    Audit to ensure we are following them
    Conscious choices lead to better processes
    E.g., identify relevant stakeholders and their involvement; identify work products to be controlled and the control method; define validation procedures and criteria, …
    Organizational learning improves project performance
    Capture what works, and what doesn’t
    Make rules (policies) to guide projects
    Define expected processes, and let projects tailor them to fit
    Capture work products and measures, and learn from them
    30
    Source: Rick Hefner and Sree Yellayi, “Interpreting the CMMI® : It Depends!”, 2005
  • 31. How Do the CMMI®Practices Add Value?
    Each practice provides value in 3 possible ways:
    Performance – the practice directly reduces cost and or schedule through either increased efficiency, increased effectiveness, or lowered rework
    Quality – the practice produces higher quality products, by either preventing or uncovering defects
    Communications – the practice helps everyone understand expected behavior, or provides insight leading to better decisions
    Many practices effect more than one dimension
    Some practices provide the potential for a positive impact or reduce the risk of a negative impact
    31
    Source: Rick Hefner, "How to Explain the Value of Every CMMI®Practice", 2007
  • 32. Some CMMI®Areas Offer More Potential Value than Others
    The activities which drive cost and schedule the most provide the most potential for productivity improvement
    For most large software companies and large software projects, the most expensive and time consuming activities, in rank order are*:
    Defect removal
    Producing documents
    Meetings and communications
    Coding
    Project management
    Source: “The Schedules, Costs, and Value of Software Process Improvements,” Caper Jones, 2007, used with permission
    32
  • 33. Barriers to Seeing the Value
    “Sometimes you have to believe it to see it.”
    Practitioners may not have worked in an environment where the practice was performed
    Practitioners may have worked in an environment where the practice was performed poorly or in a non-value-added manner
    The practice may run counter to a long-held belief
    Believing the practice is an improvement may require an action the practitioner is not willing to take
    Awkwardness of doing something new
    Admit they’ve been doing it wrong
    Loss of personal power when perceived to be an expert in the current approach
    33
    Source: Rick Hefner, "How to Explain the Value of Every CMMI®Practice", 2007
  • 34. Willingness to Change
    Early adopters are motivated by perceived benefits
    Late adopters are motivated by avoiding pain
    34
    Source: Geoffrey A. Moore, Crossing the Chasm, 1999, used with permission
  • 35. Management Support
    Management must:
    Understand the key messages
    Be willing to take actions to reinforce them
    Provide resources to support/sustain process improvement efforts
    Set expectations that essential project functions will be funded and processes will be followed
    Project planning, estimation, tailoring, CM, QA, etc.
    Support process improvement and sustainment, rather than passing appraisals
    Reward mature processes development and sustainment rather than individual heroics
    Tell me how you will reward me, and I’ll tell how I will behave
    35
  • 36. Different Strategies for Different Practices
    CMMI® practices
    Not performing
    Already performing
    Not aware of
    Aware of
    Don’t perceive as valuable
    Perceive as valuable
    Capture appropriate evidence
    Learn how the practice adds value
    Strategize appropriate approach
    Key enablers
    Willingness to learn unfamiliar practices Desire to extract value not “check the box”
    Ability to interpret the CMMI®in your context Understanding the value of the CMMI®practices
    36
  • 37. Exercise: Explaining the Value of Every Practice
    Which process areas/practices does your stakeholders not understand the value of?
    If you don’t know the value, how will you find out?
    If you do know the value, how will you convince others?
    37
  • 38. Principles of Influence
    All interpersonal behavior involves exchange
    “Paying” others for what we request; being paid for what we do
    You have influence, insofar as you can give others what they need, in exchange for what you need
    To have influence, you must:
    See the other person as a potential ally
    Clarify your goals & priorities
    Diagnose your ally’s goals & priorities
    Possess resources to help your ally
    Negotiate the exchange
    38
  • 39. Possible “Currencies” to Exchange
    Inspiration
    Vision
    Excellence
    Moral/ethical correctness
    Task
    Resources
    Challenge/learning
    Assistance
    Organizational support
    Rapid response
    Information
    Position
    Recognition
    Visibility
    Reputation
    Importance
    Contacts
    39
    Relationship
    • Acceptance
    • 40. Understanding
    Personal
  • Five Dimensions of Work
    40
    Skill variety - The degree to which the work requires you to exercise a variety of skills
    Task identity- The degree to which the work requires you to complete a whole, identifiable piece of work
    Task significance - The degree to which your work affects others and contributes to social welfare
    Autonomy- The degree to which you have control over the means and methods you use to perform your work
    Job feedback - The degree to which carrying out the work itself provides you with direct and clear information about how effective you are.
    Source: Richard Hackman & Greg Oldham, Work Redesign, 2004, used with permission
  • 43. Exercise: Determine Possible Exchanges for Each Key Stakeholder
    41
  • 44. Topics
    Necessary ingredients for change
    Why people resist change
    Effective strategies for addressing resistance
    Assessing your organization’s capability to change
    Keys to leading the change
    Explaining the value of every practice
    Management support
    Influence without authority
    Keys to sustaining the change
    42
  • 45. Deep vs. Shallow Commitment
    Deep - characterized by:
    A good understanding of the logic and other reasons
    Alignment of the commitment with personal beliefs, values and motivations
    Strong emotional buy-in
    A personal attachment to the person doing the persuading
    Little questioning or doubt about what needs doing
    Timely actions and persistence in the face of adversity
    Shallow - characterized by:
    Limited understanding of the logic of the argument
    Misalignment with one or more of beliefs, values and motivations.
    Low emotional buy-in
    Limited trust or liking of the person doing the persuading.
    Wait-and-see, detached attitude
    Internal justification for limited actions
    43
  • 46. What Institutionalization Is
    Institutionalization: The ingrained way of doing business that an organization follows routinely as part of its corporate culture.
    - CMMI® -DEV v1.2
    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
    An institutionalized process is more likely to be retained during times of stress
    GG 2 Institutionalize a Managed Process
    GP 2.1 Establish an Organizational Policy
    GP 2.2 Plan the Process
    GP 2.3 Provide Resources
    GP 2.4 Assign Responsibility
    GP 2.5 Train People
    GP 2.6 Manage Configurations
    GP 2.7 Identify and Involve Relevant Stakeholders
    GP 2.8 Monitor and Control the Process
    GP 2.9 Objectively Evaluate Adherence
    GP 2.10 Review Status with Higher Level Management
    GG 3 Institutionalize a Defined Process
    GP 3.1 Establish a Defined Process
    GP 3.2 Collect Improvement Information
    44
  • 47. Common Features – A Lost Perspective in CMMI®v1.2!
    45
  • 48. Organizational Culture
    A pattern of shared basic assumptions that the group learned as it solved its problems of external adaptation and internal integration, that has worked well enough to be considered valid and, therefore, to be taught to new members as the correct way you perceive, think, and feel in relation to those problems.
    Artifacts
    The practices that can be observed in such areas as dress code, leadership style, communication processes
    Espoused values
    The elements the organization says it believes in, the factors that it says influence the practices in which it engages
    Basic underlying assumptions
    Unstated beliefs the organization has come to accept and abide by
    46
    Source: Edgar H Schein, Organizational Culture & Leadership, 2004, used with permission
  • 49. Why Institutionalization Fails
    Few engineers or managers are trained in organizational psychology
    Improvement efforts implement the generic practices (i.e., change the artifacts) without understanding or addressing lower level contributors to culture
    47
    Covert level
    Culture
    Ethics Values Norms
    Attitudes Beliefs Priorities
    Opinions Behavior Conduct Do & Don’ts
    Intermediate level
    Overt level
  • 50. Addressing the Underlying Beliefs
    Sponsors and performers must have a strong vision of the desired culture
    What are my roles and responsibilities?
    What changes in behavior are required?
    What are the underlying beliefs and values?
    How do I benefit – WIIFM?
    48
    Covert level
    Culture
    Ethics Values Norms
    Attitudes Beliefs Priorities
    Opinions Behavior Conduct Do & Don’ts
    Intermediate level
    Overt level
  • 51. Five Dimensions of Work
    49
    Skill variety - The degree to which the work requires you to exercise a variety of skills
    Task identity- The degree to which the work requires you to complete a whole, identifiable piece of work
    Task significance - The degree to which your work affects others and contributes to social welfare
    Autonomy- The degree to which you have control over the means and methods you use to perform your work
    Job feedback - The degree to which carrying out the work itself provides you with direct and clear information about how effective you are.
    Source: Richard Hackman & Greg Oldham, Work Redesign, 1980, used with permission
  • 52. Perceptions of the CMMI®Common Features Based on Work Environment Preferences
    Skill Task Task Autonomy Job Variety Identity Significance Feedback
    Commitment to Perform
    Establish an Org. Policy
    Ability to Perform
    Plan the Process
    Provide Resources
    Assign Responsibility
    Train People
    Establish a Defined Process
    Directing Implementation
    Manage Configurations
    Involve Stakeholders
    Monitor/Control the Process
    Collect Improvement Info
    Verification
    Obj. Evaluate Adherence
    Review with Higher Mgmt
    50
    Source: Rick Hefner, “Aligning CMMI®Strategies with Individual, Project, and Organizational Perspectives,” Software Technology Conference, 2003
  • 53. Effective Use of Audits and Appraisals
    Process and product audits provide tangible, objectivemeasures of adoption/sustainment
    Policies, processes, and standards must reflect the desired behaviors
    Appraisals evaluate the effectiveness of the audit program
    Standardized tools, approaches, and methods
    Consistency of appraisers – if they understand the way we are structured and operate, there is less time required to understand what we are doing.
    Pre-appraisal activities to prepare projects for the appraisal process
    The frequency of audits and appraisals, and the sampling, must reflect the progress of the cultural change
    As the culture begins the change, more frequent and more in-depth audits/appraisals are required
    Later, the amount of audits/appraisal may decrease, if the culture has truly changed
    51
  • 54. Exercise: Using the Common Features
    In the current culture, which of the common features /GPs is strongest? How could it be used to increase adoption?
    Which of the common features /GPs is weakest? How could it be strengthening it help adoption?
    52
  • 55. Summary
    Successful change requires the right combination of strategy, structure, and support
    Your chances of success depend on your current culture, the desired end state, the resources available, the past response to change , and your ability to recognize and address resistance
    53
  • 56. 54
    54