Introducing & Sustaining Change - 2010 SEPG

Introducing and Sustaining ChangeProfessional Development WorkshopSEPG North America22-25 March 2010Rick HefnerDirector, Process AssuranceNorthrop Grumman Corporation

BackgroundSuccessful 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 organization2This 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 IDEALSMModel3Source: “IDEAL: A Users Guide for Software Process Improvement”, Robert McFeeley, CMU/SEI-96-HB-001, Feb 1996, used with permission

The Non-IDEAL Model4Management sets a goal of achieving “Level x by date Y”SEPG assigned the task with a fixed budgetThe projects listen politely (perhaps) to the SEPG plans and schedules, but either ignore the requests for action or provide a minimal responseSEPGdevelops plans and schedules

TopicsNecessary ingredients for changeWhy people resist changeEffective strategies for addressing resistanceAssessing your organization’s capability to changeKeys to leading the changeExplaining the value of every practiceManagement supportInfluence without authorityKeys to sustaining the change5

Maslow’s Hierarchy of NeedsOpportunities for innovation and creativity, learning and creatingRecognition from others, prestige and statusBeing part of a group, identification with a teamEconomic security, freedom from threatsPhysical 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 importantI 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 changeI am not going to change because……I am able to ignore the change…I have the power to obstruct the change7

Why Do People Resist Change?Perceived Loss of Personal Power8so 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 TargetsBeliefs - Basic drivers of thought and behaviorWhat 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/unimportantAre 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 needsWhat 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 realityWhat 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 changeWhat 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 actionWhat 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 AnalysisIdentify key stakeholdersPlot current stakeholders feelings regarding desired change (O = current)Plot needed stakeholder feelings (X = needed) in order to successfully accomplish desired changeIndicate how individuals link to each other; use arrows to indicate who influences whom Identify actions for closing gaps11

Reaction to Change Perceived as Negative:Kübler-Ross Grief Cycle12Immobilization: Initial paralysis at hearing the bad newsDenial: Trying to avoid the changeAnger: Frustration, outpouring of bottled-up emotionBargaining: Seeking for a way outDepression: Final realization of the inevitableTesting: Seeking realistic solutionsAcceptance: Finally finding the way forward

Reaction to Change Perceived as Positive13

Willingness to ChangeEarly adopters are motivated by perceived benefitsLate adopters are motivated by avoiding pain14Source: Geoffrey A. Moore, Crossing the Chasm, 1999, used with permission

Exercise: Stakeholder AnalysisIdentify key stakeholdersPlot current (O) and Desired feelings regarding changeIdentify grief stateIdentify willingness to change state15

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 importantI 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 changeI am not going to change because……I am able to ignore the change…I have the power to obstruct the change17

Different Approaches for Different States18

Address the Underlying BeliefsSponsors and performers must have a strong vision of the desired cultureWhat are my roles and responsibilities?What changes in behavior are required?What are the underlying beliefs and values?How do I benefit – WIIFM?Covert levelCultureEthics Values NormsAttitudes Beliefs PrioritiesOpinions Behavior Conduct Do & Don’tsIntermediate levelOvert level19

Communicate the Key MessagesCMMI®is a set of proven, industry best-practicesAdoption is about learning how to apply these practices to our workThe practices may feel awkward and have limited value until we learn themIt’s OK to make mistakes – we will get better over timeCMMI®involves short-term investment for long-term gainAchieving and maintaining mature processes is essential to meeting our business goalsCMMI®is an enabler (not a guarantee) of project successOther aspects (people, technology, customer relationship, etc.) are equally importantThe value is often risk reduction (which may be difficult to measure)When the entire organization is behaving maturely, everyone’s job becomes easierContinuous improvement is a way of life20

Address Fear of FailureThe risk of change may be seen as greater than the risk of standing stillMaking a change requires a leap of faithThe perceived loss of personal powerI’m seen as competent now, but in a new culture…Effective StrategiesClearly describe why the situation favors changeBusiness goals, WIIFMEngage the rational mind first (the emotional mind will follow)Make it clear initial mistakes are expected and will be toleratedCreate forums for asking and answering questionsShow people how they can be effective in the changed environment21

Encourage and SupportPractitioners may feel they don’t have time to learn new ideasPractitioners may need role models Most change agents don’t need role models, because they easily imagine new situationsEffective StrategiesEnsure adequate resources during the learning curveCMMI®practices reduce costs in the long run – short term investment for long term gainSearch out and publicize good examples and successesSet up pilot programs that model the change Encourage the next step in the change processEnsure management takes accountability for actionMust change short term priorities to achieve long term results22

Ensure AccountabilityAdopting and sustaining CMMI®is about each practitioner learning and performing the new behaviorsThe role of management in cultural change is to hold people accountable for the new behaviors and conductEffective StrategiesChange agents can enable management by:Helping them have a clear vision of the new cultureIdentifying inappropriate behaviorProviding tangible, objective measures of adoption/sustainment23

Help Them Accept ChangeHealthy skeptics may improve an ideaPeople may fear hidden agendasLate adopters often look for messages in how resistance is handledEffective StrategiesSet up mechanisms for obtaining feedbackSome will prompt genuine improvementsSome will be based more on fear and anger than substanceBe honest about setbacks and negative impactsManagement must be willing to enforce change, in the face of objections Consensus will almost never be reachedCommunicate 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 ResistanceStopThe natural tendency of many people is to respond immediately, with an authoritarian or angry responseThis may generate sympathy, galvanize the resistance, and/or make it covertLookPause, assess the situation, and diffuse the emotionWhat is the person’s emotional state?ListenIs this a misunderstanding or a legitimate concern? What does their message say about their underlying beliefs, values, goals, perceptions, potential, triggers?25

Exercise: Action PlanRevisit the stakeholder analysis and determine an action plan for each of the stakeholders26

A Typical InterchangeCMMI®Change AgentCMMI®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 PracticeThe CMMI®is a model of industry best-practices for engineering productsWhen an organization decides to adopt CMMI®, they commit to performing these best-practicesDifferent than a customer-driven process, where you simply do what the customer asks you to doYou are performing practices in the best way known in industry“Best” implies predictably producing products of acceptable quality at the lowest possible cost and schedule29

Underlying Principles of CMMI®Process discipline leads to predictable project performanceSay what you do; do what you sayDocument the plans/processesCommunicate them to the performers and stakeholdersAudit to ensure we are following themConscious choices lead to better processesE.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 performanceCapture what works, and what doesn’tMake rules (policies) to guide projectsDefine expected processes, and let projects tailor them to fitCapture work products and measures, and learn from them30Source: 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 reworkQuality – the practice produces higher quality products, by either preventing or uncovering defectsCommunications – the practice helps everyone understand expected behavior, or provides insight leading to better decisionsMany practices effect more than one dimensionSome practices provide the potential for a positive impact or reduce the risk of a negative impact31Source: Rick Hefner, "How to Explain the Value of Every CMMI®Practice", 2007

Some CMMI®Areas Offer More Potential Value than OthersThe activities which drive cost and schedule the most provide the most potential for productivity improvementFor most large software companies and large software projects, the most expensive and time consuming activities, in rank order are*:Defect removalProducing documentsMeetings and communicationsCodingProject managementSource: “The Schedules, Costs, and Value of Software Process Improvements,” Caper Jones, 2007, used with permission32

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 performedPractitioners may have worked in an environment where the practice was performed poorly or in a non-value-added mannerThe practice may run counter to a long-held beliefBelieving the practice is an improvement may require an action the practitioner is not willing to takeAwkwardness of doing something newAdmit they’ve been doing it wrongLoss of personal power when perceived to be an expert in the current approach33Source: Rick Hefner, "How to Explain the Value of Every CMMI®Practice", 2007

Willingness to ChangeEarly adopters are motivated by perceived benefitsLate adopters are motivated by avoiding pain34Source: Geoffrey A. Moore, Crossing the Chasm, 1999, used with permission

Management SupportManagement must:Understand the key messagesBe willing to take actions to reinforce themProvide resources to support/sustain process improvement effortsSet expectations that essential project functions will be funded and processes will be followedProject planning, estimation, tailoring, CM, QA, etc.Support process improvement and sustainment, rather than passing appraisalsReward mature processes development and sustainment rather than individual heroicsTell me how you will reward me, and I’ll tell how I will behave35

Different Strategies for Different PracticesCMMI® practicesNot performingAlready performingNot aware ofAware ofDon’t perceive as valuablePerceive as valuableCapture appropriate evidenceLearn how the practice adds valueStrategize appropriate approachKey enablersWillingness 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®practices36

Exercise: Explaining the Value of Every PracticeWhich 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 InfluenceAll interpersonal behavior involves exchange“Paying” others for what we request; being paid for what we doYou have influence, insofar as you can give others what they need, in exchange for what you needTo have influence, you must:See the other person as a potential allyClarify your goals & prioritiesDiagnose your ally’s goals & prioritiesPossess resources to help your allyNegotiate the exchange38

Possible “Currencies” to ExchangeInspirationVisionExcellenceMoral/ethical correctnessTaskResourcesChallenge/learningAssistanceOrganizational supportRapid responseInformationPositionRecognitionVisibilityReputationImportanceContacts39RelationshipAcceptance

UnderstandingPersonalGratitude

ComfortFive Dimensions of Work40Skill variety - The degree to which the work requires you to exercise a variety of skillsTask identity- The degree to which the work requires you to complete a whole, identifiable piece of workTask significance - The degree to which your work affects others and contributes to social welfareAutonomy- The degree to which you have control over the means and methods you use to perform your workJob 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 Stakeholder41

Deep vs. Shallow CommitmentDeep - characterized by:A good understanding of the logic and other reasons Alignment of the commitment with personal beliefs, values and motivations Strong emotional buy-inA personal attachment to the person doing the persuading Little questioning or doubt about what needs doing Timely actions and persistence in the face of adversityShallow - characterized by:Limited understanding of the logic of the argumentMisalignment 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 attitudeInternal justification for limited actions43

What Institutionalization IsInstitutionalization: The ingrained way of doing business that an organization follows routinely as part of its corporate culture.- CMMI® -DEV v1.2When 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 processAn institutionalized process is more likely to be retained during times of stressGG 2 Institutionalize a Managed ProcessGP 2.1 Establish an Organizational PolicyGP 2.2 Plan the ProcessGP 2.3 Provide ResourcesGP 2.4 Assign ResponsibilityGP 2.5 Train PeopleGP 2.6 Manage ConfigurationsGP 2.7 Identify and Involve Relevant StakeholdersGP 2.8 Monitor and Control the ProcessGP 2.9 Objectively Evaluate AdherenceGP 2.10 Review Status with Higher Level ManagementGG 3 Institutionalize a Defined Process GP 3.1 Establish a Defined ProcessGP 3.2 Collect Improvement Information44

Common Features – A Lost Perspective in CMMI®v1.2!45

Organizational CultureA 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. ArtifactsThe practices that can be observed in such areas as dress code, leadership style, communication processesEspoused valuesThe elements the organization says it believes in, the factors that it says influence the practices in which it engagesBasic underlying assumptionsUnstated beliefs the organization has come to accept and abide by46Source: Edgar H Schein, Organizational Culture & Leadership, 2004, used with permission

Why Institutionalization FailsFew engineers or managers are trained in organizational psychologyImprovement efforts implement the generic practices (i.e., change the artifacts) without understanding or addressing lower level contributors to culture47Covert levelCultureEthics Values NormsAttitudes Beliefs PrioritiesOpinions Behavior Conduct Do & Don’tsIntermediate levelOvert level

Addressing the Underlying BeliefsSponsors and performers must have a strong vision of the desired cultureWhat are my roles and responsibilities?What changes in behavior are required?What are the underlying beliefs and values?How do I benefit – WIIFM?48Covert levelCultureEthics Values NormsAttitudes Beliefs PrioritiesOpinions Behavior Conduct Do & Don’tsIntermediate levelOvert level

Five Dimensions of Work49Skill variety - The degree to which the work requires you to exercise a variety of skillsTask identity- The degree to which the work requires you to complete a whole, identifiable piece of workTask significance - The degree to which your work affects others and contributes to social welfareAutonomy- The degree to which you have control over the means and methods you use to perform your workJob 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. PolicyAbility to Perform Plan the ProcessProvide ResourcesAssign ResponsibilityTrain PeopleEstablish a Defined Process Directing ImplementationManage ConfigurationsInvolve StakeholdersMonitor/Control the ProcessCollect Improvement InfoVerificationObj. Evaluate AdherenceReview with Higher Mgmt50Source: Rick Hefner, “Aligning CMMI®Strategies with Individual, Project, and Organizational Perspectives,” Software Technology Conference, 2003

Effective Use of Audits and AppraisalsProcess and product audits provide tangible, objectivemeasures of adoption/sustainment Policies, processes, and standards must reflect the desired behaviorsAppraisals evaluate the effectiveness of the audit program Standardized tools, approaches, and methodsConsistency 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 processThe frequency of audits and appraisals, and the sampling, must reflect the progress of the cultural changeAs the culture begins the change, more frequent and more in-depth audits/appraisals are requiredLater, the amount of audits/appraisal may decrease, if the culture has truly changed51

Exercise: Using the Common FeaturesIn 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

Introducing & Sustaining Change - 2010 SEPG

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