Introducing and Sustaining Organizational Change

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

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

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 ,[object Object]

UnderstandingPersonal ,[object Object]

Exercise: Determine Possible Exchanges for Each Key Stakeholder 41

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

Introducing and Sustaining Organizational Change

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