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Introducing & Sustaining Change - 2010 SEPG
 

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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    Introducing & Sustaining Change - 2010 SEPG Introducing & Sustaining Change - 2010 SEPG Presentation Transcript

    • Introducing and Sustaining Change
      Professional Development Workshop
      SEPG North America
      22-25 March 2010
      Rick Hefner
      Director, Process Assurance
      Northrop Grumman Corporation
    • 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.
    • The IDEALSMModel
      3
      Source: “IDEAL: A Users Guide for Software Process Improvement”, Robert McFeeley, CMU/SEI-96-HB-001, Feb 1996, used with permission
    • 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
    • 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
    • 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
    • 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
    • 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…
    • 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
    • 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
    • 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
    • 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
    • Reaction to Change Perceived as Positive
      13
    • 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
    • Exercise: Stakeholder Analysis
      Identify key stakeholders
      Plot current (O) and Desired feelings regarding change
      Identify grief state
      Identify willingness to change state
      15
    • 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
    • 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
    • Different Approaches for Different States
      18
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • Exercise: Action Plan
      Revisit the stakeholder analysis and determine an action plan for each of the stakeholders
      26
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
      • Understanding
      Personal
      • Gratitude
      • Self-concept
      • Comfort
    • 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
    • Exercise: Determine Possible Exchanges for Each Key Stakeholder
      41
    • 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
    • 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
    • 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
    • Common Features – A Lost Perspective in CMMI®v1.2!
      45
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 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
    • 54
      54