Inttoducing and Sustaining Change

Introducing and Sustaining
Change
Presented to
Southern California SPIN
14 January 2011
Originally presented to
Professional Development Workshop
SEPG North America
22-25 March 2010
Rick Hefner
Director, Process Assurance
Northrop Grumman Corporation
Rick.Hefner@ngc.com

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.
Introducing and Sustaining Change - Rick Hefner

The IDEALSM Model
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
SEPG develops
plans and
schedules
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

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 Introducing and Sustaining Change - Rick Hefner

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.

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

Perceived Loss of Personal Power
8
Here’s the new
CMMI® practices
you need to start
implementing.
If these are
essential industry
best practices…
and I haven’t been
performing them….
then I’ve been
wrong….
so they must not be
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 beliefs do 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?

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 resist? (listening, threats, etc.)
– Who do they listen to? (friends, social leaders, senior people, etc.)

Stakeholder Analysis
1. Identify key stakeholders
2. Plot current stakeholders feelings regarding desired change (O =
current)
3. Plot needed stakeholder feelings (X = needed) in order to successfully
accomplish desired change
4. Indicate how individuals link to each other; use arrows to indicate
who influences whom
5. Identify actions for closing gaps
11
Name Strongly
Against
Moderately
Against
Neutral Moderately
Supportive
Strongly
Supportive
Action Steps
Senior Mgmt X O Xxxxxxx xxxx
PMs X O Xxxxxxx xxxx
Engineers X O Xxxxxxx xxxx
Customers X O Xxxxxxx xxxx

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

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
1. Identify key stakeholders
2. Plot current (O) and Desired feelings regarding change
3. Identify grief state
4. Identify willingness to change state
15
Name SA MA N MS SS Grief/Joy Cycle Willingness
to Change
Action Plan
Senior Mgmt
PMs
Engineers
Customers

Topics

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

Different Approaches for Different States

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?
19
Culture
Ethics Values Norms
Attitudes Beliefs Priorities
Opinions Behavior Conduct Do & Don’ts
Covert level
Intermediate level
Overt level

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

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
• 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

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
• 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

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
• 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

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
• 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."

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 for the resisters,
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?

Exercise: Action Plan
• Revisit the stakeholder analysis and determine an action plan for each
of the stakeholders
26
Name SA MA N MS SS Grief/Joy Cycle Willingness
to Change
Action Plan
Senior Mgmt
PMs
Engineers
Customers

Topics

A Typical Interchange
“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
CMMI® Change Agent CMMI® Change “Target”

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

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

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
32
Source: “The Schedules, Costs, and Value of Software Process
Improvements,” Caper Jones, 2007, used with permission

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

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

Different Strategies for Different Practices
36
CMMI® practices
Already
performing
Not performing
Aware of Not 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

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?

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

Possible “Currencies” to Exchange
39
Inspiration
• Vision
• Excellence
• Moral/ethical correctness
Task
• Resources
• Challenge/learning
• Assistance
• Organizational support
• Rapid response
• Information
Position
• Recognition
• Visibility
• Reputation
• Importance
• Contacts
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

Topics

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

What Institutionalization Is
• 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
Institutionalization: The ingrained way of doing business that an
organization follows routinely as part of its corporate culture.
- CMMI® -DEV v1.2

Common Features –
A Lost Perspective in CMMI® v1.2!
45
Commitment to Perform
Ability to Perform
GP 2.5 Train People
Verifying Implementation
GP 2.10 Review Status with Higher Level Management
Directing Implementation

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
Culture
Ethics Values Norms
Covert level
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
Culture
Ethics Values Norms
Covert level
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, 2004, used with permission

Perceptions of the CMMI® Common Features Based
on Work Environment Preferences
Skill Task Task Autonomy Job
Variety Identity Significance Feedback
Establish an Org. Policy
Ability to Perform
Plan the Process
Provide Resources
Assign Responsibility
Train People
Establish a Defined Process
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, objective
measures 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

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
Ability to Perform
GP 2.5 Train People
Verifying Implementation
GP 2.10 Review Status with Higher Level Management

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

Inttoducing and Sustaining Change

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