Navigating Transitions Understanding and Leading Others Through Change August 2012 Overview Navigating Transitions Change is all around us, pushing us, making demands, and offering opportunities. We ignore making the transitions associated with change – or choose not to respond to it at our peril. Effective leadership of transitions means anticipating the impacts of trends and changing conditions, being flexible in the face of continual transitions in the organization’s culture, adapting to changing needs of customers, new mandates and new business requirements, and teaching yourself and others to build skills for dealing with constant change. Learning to successfully lead change and transitions is a fundamental competency for managers and is integral to successfully implementing the DHS-OHA Leadership Model. This workshop is designed to provide you with tools and techniques so that you can plan for change and lead transitions effectively within your “sphere of influence” in your particular environment. We address issues that affect your ability and the ability of the people around you to be successful in developing a resilient and adaptive attitude and culture. The goal is to help you move through transitions in healthy and productive ways and to help those around you who are struggling with change to follow your example. To do this requires an understanding the human side of change and some of the basic requirements to helping others successfully navigate transitions. That is the focus of this workshop. Please take a moment to review the workshop objectives on the next page. 2 Objectives of This Workshop By the end of this workshop, you will be able to: Examine your individual style and make more effective use of your personal style for navigating change in order to influence and lead others through transitions. Apply the 5 Elements for Effective Organizational Change and the 5 Steps for Leading Change to enterprise-level and business unit-level change initiatives that you are involved in. Illustrate key components of being a more strength based effective leader of change. Describe the dynamics of individual transitions and how employees will need to be coached during the different stages of change. Demonstrate coaching and other methods in order to move people through fear and resistance. Identify communication techniques to more effectively message change to keep others informed and involved, galvanize support, and deal with the many challenges of change. Change is the law of life. And those who look only to the past or present are certain to miss the future. — John F. Kennedy 3 SECTION ONE Your Experience with Change Section One Objectives By the end of this section participants will be able to: Identify their personal change preference style and the potential pitfalls of this style. List strategies to mitigate these pitfalls. The key to your universe is that you can choose. — Carl Frederick 4 Understanding Your Response to and Capacity for Change Change occurs all around us and in many facets of our life – personal, family, professional, community, and world. Understanding our personal experiences of change enhances our ability to understand our current reality. To realize our full capacity for change, we must build awareness of how our attitudes and responses to change affect and influence our relationships and larger group dynamics. “Any change, even a For example, leaders are called upon to help their change for the better, organizations navigate the social implications of is always significant technology changes, embrace the accompanied by complexities and opportunities of greater diversity, drawbacks and move from a reliance on control to an emphasis discomforts.” on collaboration, and to augment technical skills with greater emotional and relationship ones. —Arnold Bennett Your own personal experience of change profoundly affects how you approach and lead change. We begin with a look at your experiences, choices, and subsequent assumptions about change. This is a useful way to uncover your strengths and blind spots in managing yourself and leading others. For example, if you tend to think about change at a rational and structural level, you may be blindsided by your own unacknowledged emotions. You may also fail to address the human needs of the people who are impacted by a change. Increasing your self-awareness will help you identify areas for your own growth and help you lead change with greater compassion, conviction, and courage. It also helps you understand how others react to change and how you can help them transition. It is easy to fall into the trap of thinking that you don’t have time to attend to all of the aspects of change. However, failing to do so will ultimately plague your organization in the form of low morale, low trust, and low performance. The self-reflection exercise on the next page will guide you in evaluating how you have responded to change and what you know about the dynamics of change. 5 Self-Reflection: What Have You Learned about Change? Instructions: Take a few minutes to reflect on your past experience with change. Use the trigger questions below to guide your thought process. Recall a time in your life when you experienced a significant change that you managed to work through. 1) a) Think about the event, for example what happened? b) What challenges did it present? c) Recall how you felt about the change experience. 2) How did you and others around you respond to the change? 3) How did you move through the change? 4) Among the people involved, what did you experience as… a) Supportive b) Unsupported 6 Observations of Change Table Group Discussion: Discuss with your peer group what you have learned about how people deal with change. Use the space below to record the reactions, responses, and behaviors that are typically associated with change. Also record what you have learned about yourself and others from changes you have experienced and witnessed in your own life. What are the typical reactions, responses, and behaviors associated with change? What have you learned about yourself and others through your experience with change? Large Group Debrief: What do changes teach us? Table teams write on poster sheet 1 or 2 primary things they have learned about change. ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ Understanding Your Preferred Response to Change Change is external, situational – the new site, the new boss, the new team, the new role, the new policy, the new process the new job responsibilities, the new computer system. The Change Style Indicator is a way of understanding your initial response to change based upon your personality. While we all demonstrate characteristics of each of the three styles, each of us has a tendency toward a particular style when we are first encountering a change. Organizations need all three styles to effectively implement change. As a leader, the benefit of understanding your style is to avoid some of the pitfalls that come along with each particular change style and to understand how you can flex and adapt your style in different situations and based upon the styles of those around you. Conservers: Accept structure Prefer that change is incremental Pragmatics: Explore structure Prefer that change is functional Originators: Challenge structure Prefer that change is expansive Source: Change Style Indicator: Discovery Learning, 2000 8 Contributions of the 3 Styles During Change Conservers Pragmatics Originators Get things done on schedule Willing to address the needs of the organization as they arise Understand complex problems Work well within organizational structure Get things done in spite of rules, not because of them Bring strong design and conceptual skills Attend to detail and factual information Negotiate and encourage cooperation and compromise to get problems solved Push the organization to understand the system as a whole Demonstrate strong followthrough skills Take a realistic and practical approach Support and encourage risktaking behavior Encourage and adhere to routine Draw people together around a common purpose Provide future-oriented insights and vision for the organization Respect rules and authority Organize ideas into action plans Serve as catalysts for change Handle day-to-day operations efficiently Have short-term and long-term perspective Initiate new ideas, projects, and activities Source: Change Style Indicator: Discovery Learning, 2000 9 Potential Pitfalls of the 3 Styles During Change Conservers Pragmatic Originators May be rigid in thought and action May be indecisive and undirected May not adjust vision to facts, logic, or practicalities of situation May discourage innovation by promoting existing rules and policies May not promote ideas and properties enough May be lost in theory May not see beyond the present details to understand the broader strategic context May try to please too many people at the same time May overextend themselves – moving on to new projects without completing them May delay completion of task because of perfectionism May appear to be noncommittal May not adapt well to policies and procedures May delay action too long by overly reflecting on situation May be easily influenced May appear unyielding and discourage others from challenging them May appear unyielding and set in ways May negotiate compromise that is too middle of the road May ignore the impact of ideas on system and people May over focus on small details May wait for others to decide before taking action May overlook relevant details Source: Change Style Indicator: Discovery Learning, 2000 10 Increasing Your Change Style Flexibility The following are suggestions for increasing your flexibility in your change style and avoiding pitfalls: Consult with a person you believe to have a different style than yours before proceeding. Make efforts to understand the perspectives of styles other than yours. Imagine putting on a hat of another style. Step back and be aware of your initial reaction in a situation, especially when you are aware of responding emotionally. True stability results when presumed order and presumed disorder are balanced. A truly stable system expects the unexpected, is prepared to be disrupted, and waits to be transformed. Tom Robbins List a few ways you can more effectively manage your response to change. 1. 2. 3. SECTION ONE – What Are Your “Take Aways?” ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ Ask, What were your takeaways? And if anyone wants to share, good. If not, move on. 11 SECTION TWO The Dynamics of Organizational Transitions Section Two Objectives By the end of this section participants will be able to: Identify gaps in the transition process and the reaction from staff associated with those gaps. List communication strategies where there are gaps. Tell me and I’ll forget Show me and I’ll remember Involve and I’ll understand Gandhi 12 Organizational Transition Moving Across the Spectrum of Change The implication for you as a leader is that to make organizational change, you must align your efforts across all levels related to the change you want to make. And you must involve others in doing the same. When managing change, people need to consider how they will shift their identities (individually and collectively) to accommodate the new knowledge, attitudes, and behaviors. Because people tend to act in ways that allow them to remain consistent with how they see themselves, as a leader you may need to move them to a new starting place if you want them to change their behavior. Another consideration is the degree to which people in organizations take a proactive or a reactive stance in relation to the changes in which they are engaged. Changes made at the individual or team level are easier but often have less impact, while those made at the organizational or enterprise level often have greater impacts but require more effort to accomplish. Some examples of changes that have affected OHA and DHS over the years include: Transition from DHS to DHS and OHA MMIS, OrKids Applying LEAN changes in local offices Loss of positions; hiring freezes; loss of funding for programs Discussion: Select from the list above to discuss – what went well? What were the challenges? ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ 13 The 5 Elements of Organizational Change Now that we have looked at some changes occurring in DHS and OHA, let’s look at some effective change strategies. There are five concrete components required for any effective change strategy: Vision, Motivation, Skills, Resources, and a Plan. If these components are not aligned to serve the ultimate goal—or if one or more of the components is missing—the change effort is likely to fail. When a component is insufficient, the results (seen on the right) are diminished. For example, anxiety and fear often result if people lack the skills to adapt to what is being asked of them. To advance from competent change to transformative change generally requires working at a higher level. For now, let’s consider each component and what occurs when there is a gap. Question: How can you use this model as an effective tool for “leading from any chair?” Adapted from the American Productivity and Quality Center 14 5 Step Model for Leading Transitions Assess Plan Prepare − Organizational culture − Awareness and understanding − Vision − Structure − Process − Messaging − Communication materials and channels − Training − Leadership competency − Staff readiness − Operational capacity − Communication − Training − Business transitions − Metrics curriculum and materials − Readiness activities − Metrics reports Execute − − − − Communicate Conduct training Coach staff Execute business transitions − Measure and report progress − Gather feedback − Make course Sustain − Monitor implementation − Provide encouragement and support − Reward and recognize − Continue execution corrections Discussion: Give an example of a change inside of DHS or OHA that followed the 5 Steps 17 Assessing and planning for change helps increase how quickly and readily employees embrace and participate in change and adapt to the new expectations and environment. Many organizations and leaders don’t take the time to assess readiness, but it is a critical step. A readiness assessment will help you understand: Strengths of the organization’s formal and informal culture that will facilitate and support change. Residual effects of past changes and/or aspects of the organizational culture, structure, or capacity that may serve as barriers to implementing change. Any gaps in the skills and competencies needed to effectively implement the changes that will part of modernization. Level of employee awareness, understanding, and acceptance of the vision and reasons for the change. Employee requirements (i.e. training, tools, resources, communications, etc.) in order to actively and effectively participate in change. 1. Assess 15 Assessing the readiness of your business and individual employees does not have to be difficult or time consuming. Several easy-to-apply assessment tools are provided in Appendix B of this handbook. Planning for change starts with developing a clear vision or business case for the change and what it means for your group or level of the organization. You cannot sell a change or anything else without genuine conviction because there are so many sources of resistance to overcome: “We’ve never done it before.” “We tried it before and it didn’t work.” “Things are okay as they are, so why should we 2. Plan change anything?” This is especially difficult when you are pursuing an innovation as opposed to responding to a crisis – you’ve got to make a compelling case. It’s not just a picture of what could be, but an appeal to our better selves, a call to become something more. It helps remind us that we construct the future from our own history, desires and decisions. Once you have the vision or case for change, then you can take on the other steps: putting a structure and process in place for the change (project team, business transition team, etc.), plan what you need to communicate to people and when, identify what skills people will need and your plan for how to train and prepare, and plan the business transition (how routine work will still get done, potential disruptions and how to minimize them, a feedback process that allow for quick identification, reporting, and resolution of problems). A template for Business Transition Plan is included in Appendix D and a template for a Communication Plan is included in Appendix F. 3.Prepare Preparing involves getting the materials, communications, training, and metrics to measure progress of your project ready for rollout. These could range from preparation of a training and coaching curriculum for your managers and supervisors to a communications plan that identifies the key messages about change and a strategy for delivering these messages to different teams, divisions, work units, and individuals in your organization. Preparing also include 16 readiness activities that involve people early in the process, such as asking employees from the areas affected by the change to serve as experts in determining the steps needed for the change and then testing those steps. For example, if you are implementing a new schedule for a call center with the goal of reducing call backlogs and wait times, rather than deciding the new schedule at the management level, present your staff with the data and ask them to suggest options to address the situation. Another important readiness activity is providing staff with all the details about the implementation process. Make sure they understand the steps from beginning to end and what the plan is for dealing with normal work during the change and if certain work processes will need to stop during the change and for how long. This is also the time to communicate whether services to customers will be disrupted and carrying out the appropriate communications strategy to inform them. Some examples of the key messages you will want to include in your communications strategy can be found in Appendix F. Executing is about implementing the business changes and your change management strategy. This is the stage where you communicate clearly what the new expectations are, then allow people to learn and develop new skills and practices. Provide time to practice the new behaviors that are required of them. Offer access to experts who can assist people as they try out new practices. 4. Execute Remember, people do not like to be told what to do. Encourage people to experiment as they implement new practices. Typically there is not just one way to do things – allow flexibility to try different methods wherever possible and then decide if there is one best practice that should be applied consistently. Coaching becomes very important at this stage. Provide staff with reinforcement for practicing and learning new behaviors and recognize them when they get it right. Some best practices for coaching can be found in Appendix A. During execution, it is important to solicit feedback about how the process is going and track progress – Are things going as planned? If not, what do we need to do about it? – and then providing feedback to project sponsors and executive leadership. 5. Sustain Sustaining the change is focused on making sure whatever your project or business change was designed to achieve is actually occurring. Measuring what is actually being done and achieved against your project metrics and outcomes is critical at this stage. 17 To sustain change, you must also recognize that people’s behavior does not change quickly or consistently. Culture is composed of norms of behavior and shared values. Every individual that joins an organization is indoctrinated into its culture, generally without even realizing it. Its inertia is maintained by the collective group of employees over years and years. Remember: Changes – whether consistent or inconsistent with the old culture – are difficult to ingrain. New practices must grow deep roots in order to remain firmly planted in the culture. 18 Your Role in Leading Organizational Change Your role as a manager, supervisor or lead worker is, at a minimum, to enlist others to participate in or, at the least, not to hinder the change effort. To be a leader of change is to assume a much larger role – to inspire, persevere, reduce ambiguity, and provide the opportunity for people to engage, participate, and prepare. In successful change efforts, an organization’s leaders: Provide the vision and a sense of urgency and are out front communicating it. Support the change by answering the concerns raised by individuals as to how a change will impact them personally and professionally. Involve others in designing and implementing the change process. Provide individuals with the tools, training, and time to learn the changes and incorporate them into a job, business unit, or division. Provide feedback throughout the transition process to the leaders sponsoring the change so that appropriate interventions and course corrections can be made along the way to the desired goal. Program and District Managers Line Managers, Supervisors, and Leads Lead and champion the change Champion the change – get engaged Live, lead, and model the behaviors and attitudes that are supportive of change Live, lead, and model the behaviors and attitudes that are supportive of change Help direct-report managers understand what’s coming Prepare and coach staff Communicate the vision frequently and proactively Communicate the vision frequently and proactively Be the conduit for determining what managers and staff need to be successful Listen to and report on what staff are saying – be the voice of the field/end user Anticipate problems and make it safe for line managers, supervisors and leads to escalate issues Understand current business processes and LEAN techniques for improving processes Provide data and input to executives so they understand the impacts and implications of decisions Escalate issues so barriers, challenges, and concerns can be addressed quickly Encourage feedback about the changes to determine what is working/not working Correct misinformation and misperceptions 19 Your Role in Leading Change and the DHS-OHA Leadership Model The overlapping circles in the Leadership Model represent different dimensions of awareness and skills development essential to effective leadership. The center of the overlapping circles contains the three core leadership competencies that are central to all leadership dimensions. Surrounding the leadership model are the two agencies’ core values – the foundation of all individual and group actions. Discussion: How does being a leader of change and transition fit within this model? Where does it show up? How does it connect? 20 SECTION TWO – What Are Your “Take Aways?” ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ SECTION THREE 21 The Dynamics of Individual Transitions Section Three Objectives By the end of this section participants will be able to: Identify where individuals are in the transition process by using behavioral cues. Change is a journey Not an event. 22 The Dynamics of Individual Change Understanding Responses to Change Some people embrace change and transition, while others struggle with it. Many people simply withhold their commitment until they have a firm sense of the benefits of a recommended or mandated change and the likelihood that the change can work in the organization. Others have a strong emotional reaction. Even those emotions, of which we are only sometimes vaguely conscious, have a powerful effect on our moods and the way we present ourselves to the world. Attitude is an important internal element in the change process. So, since emotion strongly influences attitude, our ability to work productively with change depends significantly on our ability to recognize and understand (at least a little bit) the emotions behind our opinions about a person, an event, a decision, an idea—anything. What do YOU fear most about change? 1. 5. 2. 6. 3. 7. 4. 8. People aren’t usually stressed out because there’s too much change, they are: Uneasy with the level of ambiguity in their environment. Unsure about their competency to do the things they are being asked to do. Change is external, situational – the new site, the new boss, the new team, the new role, the new policy, the new process the new job responsibilities, the new computer system. Transition is internal – the psychological process people go through to let go of something and come to terms with the new situation driven by the external environment. Reaction to change is personal. If it’s a change you want, great! If it is one you don’t want, you may feel anger, frustration and resistance. It’s the same with other people. Each person has a view of the change, which will affect how he or she reacts to it. 23 To effectively lead change, you must help people navigate transitions. 3-Phase States of Change How things are done today? How to move from current to future? How things will be done tomorrow? 24 Working Through the Sates of Change C u r r e n t Awareness of the need for change -- sets the foundation for helping individuals make personal choices about the change T r a n s i t i o n s Knowledge on how to change – by conveying the skills, training, tools, processes, roles and responsibilities that are required to change. F u t u r e Reinforcement to sustain the change – through recognition and reward for the hard work and energy the person displays in make the change. Likely Behaviors Desire to participate in and support the change – is built by answering “what’s in it for me?” Ability to implement required skills and behaviors – is achieved by providing the necessary coaching and time to master new skills and processes. 25 SECTION THREE – What Are Your “Take Aways?” ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ 26 SECTION FOUR Leading Others Through Transitions Section Four Objectives By the end of this section participants will be able to: Identify coaching techniques that can be used to assist people transition through the change process. “Not everything that is faced can be changed, but nothing can be changed until it is faced.” 27 a Coaching People Through Transitions Although organizations may need to change, and although management as a group may demand and support change, the actual effort for change comes from individuals. When individuals decide to change—whether it is out of desire or obligation— that’s when change begins. It is important to make a distinction here: the three stages of transition are a universal psychological process that most people go through during change, whether they are consciously aware of it or not. Then, there are five building blocks that are required for an individual decision to make a change. They can also be defined as barrier points if a person does not “pass through” them. Awareness of the need for change – sets the foundation for helping individuals make personal choices about the change Desire to participate in and support the change – is created by answering “what’s in it for me?” Knowledge on how to change – is built by conveying the skills, training, tools, processes, roles and responsibilities that are required to change. Ability to implement required skills and behaviors – is achieved by providing the necessary coaching and time to master new skills and processes. Reinforcement to sustain the change – is accomplished through recognition and reward for the hard work and energy the person displays in making the change. 28 What is Coaching? The purpose of coaching is to help employees achieve their potential and to improve business and professional performance in specific areas. Coaching is a collaborative process. A person has to be willing to be coached in order for it to be effective. Coaching is not performance feedback connected to deficient performance. It is not part of discipline or corrective action. A coach is not a therapist, a teacher, or an advisor. An effective coach is a facilitator who helps people: see problems differently. navigate change and transitions. realize when and how their actions are inconsistent with their goals. articulate a specific goal and how they’re going to accomplish it. gauge their progress and effectiveness. be accountable for achieving their goals. clarify performance expectations and provide feedback and direction. identify improvement opportunities and provide support for continuous improvement efforts. remove barriers and constraints that inhibit individuals or teams from fulfilling their responsibilities and meeting assigned objectives. understand and celebrate their own work accomplishments. Coaching is also different than mentoring. Mentoring is done by a person who is not the employee’s immediate supervisor with the purpose of helping that person integrate into a new environment or culture or begin the process of developing toward a promotion or higher level of responsibility. To help people navigate transitions and move through the five building blocks of deciding to change will require you to take on the role of a coach. The role of coach involves supporting employees through the process of change they experience when projects and initiatives impact their day-to-day work and helping them address the barrier points that are inhibiting successful change. Coaching Individuals Through Organizational Change Coaching takes on a heightened level of importance during an organizational change. To be an effective change management coach, it is important that you understand when coaching should occur. As a manager, you might schedule coaching sessions about particular topics. Such a topic might be: what are the new expectations for performing c processes and procedures that are part of modernization or health care transformation? 29 More often however, coaching takes place informally through interactions with direct reports and peers in person, by phone, or through e-mail. (SEE APPENDIX E for additional coaching resources.) Motivating People You cannot direct people to be happy about changes. However, there are several motivators you can use to help employees shift from operating out of fear, anxiety or apprehension to a mode of hopefulness, acceptance or even excitement about the changes. As a group, identify some motivating factors you know are effective: NEED MORE ROOM SETHA It is important to keep in mind that these are examples of motivators, and that what motivates one person may not work for another Working Through Resistance Resistance is normal, and should be expected. In all systems, there is a natural force to maintain the “status quo” – what is comfortable for us now, today. So resistance isn’t actually resistance to change, it is resistance to the loss of the status quo or comfort zone. When you see resistance, it means that people are sensing that loss, and that means change has begun. Reasons for employee resistance include: Belief that the change is unnecessary or wrong. Belief that the change will make things worse or will not be successful. Belief that prior initiatives were not properly implemented. Lack of awareness or understanding of the reasons for the change. Fear that the change will result in personal loss -- a job, being demoted, or losing work they enjoy. Belief that they had no input into the decision. Lack of faith in those driving the change. Resent the way the change is being introduced. Uncertainty about whether they’ll have the necessary skills to be successful. People like (or are at least comfortably used to) the current state. Fear that they will be asked to do more with less, or without commensurate pay. 30 Key Lesson: Do not react to resistance with surprise. Expect it and plan for it. Be patient with people as they work their way through the transitions. Also, assess resistance not only from an individual’s natural aversion to or dislike of change, but also based upon how much other change is going on, what may be going on their personal life or how they view the organization and its culture. Personal Context for Change Organizational Context for Change Motivating Factors Motivating Factors Personal and family situation – health, financial position, stability, mobility, relationships History with change – past change success or failure, the likelihood this change will really happen Professional career history and plans – successes, failures, promotions, aspirations, years left before retirement, second career potential Values and culture – how the organization treats employees and how employees treat on another Degree to which this change will affect them personally Degree of complexity and amount of impact on employees Identifying Resistance Best practice research in change management identifies several best practices for identifying where and why resistance is occurring. Engage in two-way communications with employees impacted by the change. This can include Q&A sessions, interviews, brainstorming sessions, group meetings, and one-on-one encounters to identify sensitivities and resistance. Interview managers responsible for past changes. Collect data to assist in determining groups and locations where resistance has been historically evident. (You can use the Assessment Tools in Appendix B and C to help uncover resistance and the reasons for it) Gauge reactions, watch body language, and pay attention to casual remarks. Resistance may exist in a subtle but consequential way. Set deliverables and monitor their progress. Missed deadlines, missed meetings, absenteeism, illness, lack of cooperation, indifference, and poor performance may be symptoms of resistance to change. 31 Techniques for Dealing with Resistance When someone in your sphere of influence is resisting change, sometimes all it takes is a “crucial conversation” that allows all of the issues to be aired and creates space for exploration of opportunities and possibilities. The following are elements to include in a conversation that is focused on removing fear and resistance. Listen and understand Objections Sometimes people want to have an opportunity to voice their concerns Listening can uncover misconceptions about the change Focus on the “what” and let go of the “how” Increases employee involvement and ownership if they have an opportunity to share in developing the solution Remove barriers Identify the barriers and determine how they can be addressed Provide simple, clear choices and consequences Be clear about the choices employees have about the change Create hope Show the benefits in a real and tangible way Seeing is believing Share your passion for change; create excitement and enthusiasm. Make a personal appeal This can work with those with whom you already have open, trusting relationships Convert the strongest dissenters They can become your strongest advocates 32 The Importance of Communication How do you lead people through a transition process and the changes that are driving it? A key to avoiding a failed change initiative is to invest significantly in communication to everyone who is affected by the change. But what exactly do you need to communicate? The purpose of the change: what is driving the need for change. A clear vision for the change: what will be different for us and the people we serve; how our processes and way of doing business will be different. A broad overview of how the organization will transition to the future state: what will change and when the changes will occur. The role that each person will play in making the changes: how employees’ day-to-day activities will be affected. An awareness of different communication/interaction styles, some of which are culturally-based. The tools and support that will be provided along the way. How people can get more information about the change. Where to go with questions and how to offer feedback. The specific timeline for the change and the immediate next steps. Best Methods for Communicating Change Research conducted on large scale projects shows that the top-level executive managers are the preferred senders when the message pertains to the business need for change and the alignment of the change with the organization’s overall direction. Employee’s supervisors are typically the preferred senders of messages that pertain to the individual and work unit level impacts of the change. Recognize that people generally begin to understand the implications of change only when they are partway through the transition. Be sure to talk about their reactions throughout the process and let them talk about how they feel, rather than trying to defend or sell the change. 33 Communication Tips The frequency and methods to communicate change in an organization or business unit varies, but the rule of thumb during change is: share messages more frequently than your think you need to. The key point is to get the right information to the right people at the right time. You can use a variety of methods to do this: email group meetings (cascading messages delivered throughout the organization) one-on-one communications agency publications intranet high level and executive presentations delivered agency-wide training and workshops project team presentations phone conferences posters and banners memos and letters update bulletins special social events flyers video conferencing, videotapes demonstrations Tip The two most effective communication methods for communicating change to employees are: One-to-one or face-to-face discussions that are honest, straight-forward, and offer details of the change on a personal level. Employees prefer personal interaction over reading information. Small group meetings to share information, brainstorm ideas and discuss new or changed work processes. 34 Here are some effective communication practices: Be as sensitive to the diversity of cultural, learning, and change style preferences as you can. Use multiple channels of communication: intranet, one-on-one discussions, group meetings, formal presentations, forums, informal lunch discussions, newsletters, etc. Seek out help from your cultural diversity director or coordinator to understand the best ways of reaching out to and communicating with a multicultural focus. Develop two-way channels to improve feedback and involvement. Don’t assume people understand – give them opportunities to question and process the change and the new expectations that accompany it. Provide opportunities, wherever possible, for employees to have input into the changes as they are designed and developed. Increase one-on-one communication with those directly impacted by the change. Some people will need more coaching and personal attention to understand the change and what it will mean for them. Provide regular updates so that people can keep their transition process moving along parallel with that of the overall change effort or project. 35 SECTION FOUR – What Are Your “Take Aways?” ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ 36 SECTION FIVE Your Action Plan Section Five Objectives By the end of this section participants will: Write a personal plan to work on skills to utilize what was presented today Write a plan to assist my branch through the change process In the final analysis, change sticks when it becomes the way we do things around here. - John Kotter 37 38 Implementing What I Learned Today Instructions: Develop a 90-day plan of specific actions you will carry out to apply what you have learned in this workshop. Use the ideas in Appendix A to supplement your own thinking. Issue or Area of Concern Goal Action Steps Start Date 1. Where am I and what do I need to do to prepare myself to be a better leader of change? 2. What concept or topic from today’s workshop do I want to focus on applying in the next 90 days? 3. What content or topics do I want to share and explore with my staff? Monthly Plan Review Date Status Review 1 Review 2 Review 3 39 Planning for Transition in My Office/Business Unit Instructions: Develop a 90-day plan of specific actions you will carry out in your office/business unit to begin preparing for a business transition that you are currently working on or that you know is on the horizon. Use what you have learned in this workshop to determine what is most helpful in laying the foundation for change, based upon the unique culture and conditions within your business unit. Issue or Area of Concern Goal Action Steps Start Date 1. Where am I and what do I need to do to prepare myself to lead the transition? 2. Where are my staff and what do we need to do to start preparing them for the transition? 3. What are the priority issues in my area of responsibility and what do I need to plan for? Monthly Plan Review Date Status Review 1 Review 2 Review 3 40 Appendix A Outside of Class Lessons and Peer Learning Opportunities 41 The following are suggested lessons and exercises you can do to expand and enhance the application of your learning from this workshop. While most of these exercises can be done independently as self study, the learning opportunity is enhanced if you work through the lessons with a peer or participate in peer group learning after completing a lesson or exercise on your own. The training teams in DHS and OHA will be sponsoring peer learning opportunities for these exercises and for the content included in the workshop. Lesson 1 Use the organizational readiness assessment tools in Appendix B to assess an upcoming change or business transition in your area of responsibility. Then answer the following questions: What did you discover about your office/business unit that will support change? What did you discover about your office/business unit that will hinder change? What are the most significant challenges your office/business unit faces in preparing for and implementing the proposed change(s)? What are your initial thoughts about what you need to do to address these challenges and barriers? Lesson 2 Identify an employee who is resistant to an upcoming change or business transition that you are planning for. Have that person fill out the self assessment in Appendix C, then score the assessment using the accompanying worksheets. Use the worksheet on page 60 along with the workshop material on pages 34-36 to prepare for and conduct a “crucial conversation.” Then use the Coaching Plan template (also in Appendix C) to prepare a strategy for helping the employee embrace and participate in the change. Lesson 3 Use the Transition Plan Template in Appendix D to begin planning for an upcoming business transition. After you make your first attempt at filling out the plan, answer the following questions: What gaps did you identify as you prepared the plan? What will need to do to address the gaps? What support and resources will you need to accomplish the transition? How will you get them? How effectively does your plan address the 5 required elements for successful organizational change found on page 14 of this handbook? What will you need to do to address any of the 5 elements that are missing? Lesson 4 42 Practice the six core coaching competencies by working through each of the following exercises. Core Competency 1: Empathizing What are the visible cues that someone is expressing empathy? __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ What are the fundamental aspects of empathy that matter most in the workplace? _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ Core Competency 2: Giving and Receiving Feedback First, identify an employee that you currently supervise or manage to whom you want to give feedback. Use the following questions to plan your approach. 1. What do you want to accomplish by giving this feedback? 2. What are the issues? Describe specific actions or behaviors you want to discuss. 3. What is the impact of these behaviors or actions? 4. Did you contribute to this situation in any way? If yes, how? 5. How do you think the other person will respond to your feedback? How will you handle their reactions? 6. What actions can you suggest to help improve the situation? Core Competency 3: Listening 43 Work with a partner. Take turns sharing your responses to the following questions. Listeners should practice attentive listening. You will each have about 5 minutes to share your experience. Describe a memorable experience from your childhood that reminds you of the place you grew up. Where did you grow up? What was the place like? __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ Asking Questions: List three questions you might use to help coach staff through change (one open, one closed, and one slightly closed) 1. 2. 3. 44 Core Competency 4: Confronting and Challenging How can you flex your style to have better interaction with an employee whose style is different than yours? _____________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ Core Competency 5: Problem Solving Consider for a minute the way you solve problems. What goes into your thinking? Be prepared to share your thoughts with a peer or in a small group. ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ Core Competency 6: Empowering Identify a previous boss that made you feel empowered. What actions did this person demonstrate? __________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ Lesson 5 45 Using the outline and worksheets in Appendix F, put together a simple communication plan to support your business transition. Share the draft with your boss or a peer to get ideas and input on the messaging, timing, and channels. After finalizing the plan with the feedback you receive, begin executing the plan and apply the Communications Checklist (also in Appendix F) to check your progress. Finally, check in with employees through informal conversations or a brief survey to find out if they are receiving and understanding the messages. Use whatever you learn to fine-tune your communications and to support your coaching activities with individual employees. Lesson 6 Choose one of the resources from Appendix G and identify a chapter, section, or key concept that you can apply in your environment or sphere of influence. Prepare the content in a presentation format, share it with your peer learning group, and facilitate a discussion about how it can be used to further develop your skills as a leader of change and/or the overall change management discipline in your organization. 46 Appendix B Organizational Readiness Assessment Tools 47 Sizing the change This high-level assessment will help you think about the change you are implementing. At the end of this worksheet, you will complete a Sizing the change profile that will be a guide for developing your change management strategies and actions. Scope of change Describe the scope of your change. ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ Which groups are most severely impacted? ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ Which groups are least impacted? ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ Number of impacted employees Identify the number of impacted employees: Front-line employees: __________ Managers and supervisors: __________ Executives and senior managers: __________ Type of change What areas of your organization will be changing: Process System or technology Organization Job roles Staffing levels Merger Other: _______________ Copyright Prosci 1996-2011 Prosci and ADKAR are registered trademarks 48 Change Characteristics Profile Mark your location on the following spectrum. If you fall on the right of the spectrum, your project will require more change management resources and activities than if you fall on the left of the spectrum. This assessment result will be used to customize your change management strategy and activities. Record your profile score. Scope of change Workgroup 1 Department Division Enterprise 5 2 3 4 Number of impacted employees Less than 10 1 2 3 4 Over 1000 5 4 Groups experiencing the change differently 5 Variation in groups that are impacted All groups impacted the same 1 2 3 Type of change Single aspect, simple change 1 2 3 4 Many aspects, complex change 5 Degree of process change No change 1 2 3 4 100% change 5 Degree of technology and system change No change 1 2 3 4 100% change 5 Degree of job role changes No change 1 3 4 100% change 5 2 Degree of organization restructuring No change 100% change 49 1 2 3 4 Amount of change overall Incremental change 1 2 3 4 Impact on employee compensation No impact on pay or benefits 1 2 3 Large impact on pay or benefits 4 5 Reduction in total staffing levels No change expected 1 2 3 4 Timeframe for change Very short (<month) or very long (> year) 1 5 Radical change 5 Significant change expected 5 3 month to 12 month initiative 2 3 4 5 Sum of points for change characteristics profile (out of 60 total): Note: A score of 35 or higher is considered a large change that will require more change management resources and activities to be successful. Copyright Prosci 1996-2011 Prosci and ADKAR are registered trademarks 50 Organizational Attributes This high-level assessment will help you think about your organization. At the end of this tab, you will complete an Organizational attributes profile that will be a guide for developing your change management strategies and actions. Organization change culture Would you consider your organization change resistant or changeready? Why? ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ Employee value structure Does the current employee value system allow change to be easily mandated from above, or is the value system resistant to top-down changes? Why? ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ Identify the institutions, policies or practices that reinforce this value structure. ___________________________________________________________ ___________________________________________________________ Change capacity Describe the current changes that are already underway. Is the organization over saturated with change or are only a few changes taking place? ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ List any key initiatives that overlap or interact with your change. ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ Leadership style and power distribution 51 Does power and authority in your organization: ___ reside with a few key leaders (centralized) ___ spread among many managers (distributed) Identify the key “power positions” in the organization (i.e. where does the true power reside). ___________________________________________________________ ___________________________________________________________ Past changes Past changes were typically: __ successful ___ failures Are employees skeptical of change, perceiving initiatives as just the next “flavor of the month”? Why? ___________________________________________________________ ___________________________________________________________ What key lessons did you learn from past changes? ___________________________________________________________ ___________________________________________________________ What caused past changes to succeed or fail? ___________________________________________________________ ___________________________________________________________ Middle manager predisposition List any immediate and anticipated challenges presented by middle managers and supervisors. ___________________________________________________________ ___________________________________________________________ Identify potential advocates, neutralizers, renegades or villains. ___________________________________________________________ Copyright Prosci 1996-2011 Prosci and ADKAR are registered trademarks 52 Organizational Readiness Assessment Perceived need for change among employees and managers Compelling business need for change is visible – employees are dissatisfied with the current state 1 2 Employees do not view change as necessary – employees are satisfied with the current state 4 5 3 Impact of past changes on employees Employees perceive past changes as positive 1 2 3 4 Employees perceive past changes as negative 5 Change capacity Very few changes underway 1 Everything is changing 2 3 4 5 Past changes Changes were successful and well-managed 1 2 3 Many failed projects and changes were poorly managed 4 5 Shared vision and direction for the organization Widely shared and unified vision 1 2 3 4 Many different directions and shifting priorities 5 4 Resources and funds are limited 5 Resources and funding availability Adequate resources and funds are available 1 2 3 Organization’s culture and responsiveness to change Open and receptive to new ideas and change 1 2 3 4 Closed and resistant to new ideas and change 5 Organizational reinforcement Employees are rewarded for risk taking and embracing change 1 2 3 Employees are rewarded for consistency and predictability 4 5 Leadership style and power distribution Centralized 1 2 3 4 Distributed 5 Executives/senior management change competency Business leaders demonstrate effective sponsorship on change projects 1 2 3 Business leaders lack sponsor skills and knowledge 4 5 53 Middle Management change competency Managers are highly competent at managing change 1 2 Managers lack knowledge and skills for managing change 4 5 3 Employee change competency Employees are highly competent at managing change 1 2 3 Employees lack the knowledge and skills for managing change 4 5 Sum of organizational attributes profile (out of 60 total): Note: A score of 35 or higher indicates a change resistant organization that will require more change management for the project to be successful. Copyright Prosci 1996-2011 Prosci and ADKAR are registered trademarks 54 Appendix C Individual Readiness Assessment Tools 55 Coaching Others Through Change Instructions: Identify someone in your sphere of influence who is struggling with change. Reflect for a few moments on what you have noticed about this person, then work with your learning partner to answer the questions below. 1. What behaviors is the person demonstrating right now? Specifically, what is this individual both saying and doing related to the changes that are being planned or are underway? 2. Based on these behaviors, what do you believe may be the underlying cause of their fear or resistance? 3. What stage do you think this person maybe be in? (ADKAR, 3 Stages of Transition or Stages of Concern) 4. What actions would be appropriate for you to take to help this person accept and participate in the change? 56 ADKAR Employee Self Assessment Rank the following statements (1=strongly disagree, 5=strongly agree, NA=not applicable). Awareness I have a general understanding of the change. 1 2 3 4 5 NA I understand the business reasons for the change. 1 2 3 4 5 NA I understand the risks of not changing. 1 2 3 4 5 NA I understand the impact on my day-to-day work activities. 1 2 3 4 5 NA Desire I am personally motivated to be part of the change. 1 2 3 4 5 NA I look forward to the new, changed environment. 1 2 3 4 5 NA 5 NA My peers support the change. 1 2 3 4 My supervisors and managers support the change. 1 2 3 4 5 NA Executives and key business leaders support the change. 1 2 3 4 5 NA 57 Knowledge I have the skills and knowledge to be successful during the change. 1 2 3 4 5 NA I have the skills and knowledge to be successful after the change. 1 2 3 4 5 NA Training and educational opportunities have been adequate to prepare me. 1 2 3 4 5 NA Ability I have the ability to perform the new duties required by the change. 1 2 3 4 5 NA I can get support when I have problems and questions. 1 2 3 4 5 NA I have practice at performing in the new environment. 1 2 3 4 5 NA Reinforcement The organization is committed to keeping the change in place. 1 2 3 4 5 NA I know the consequences of not performing my new activities. 1 2 3 4 5 NA I am rewarded and recognized for performing in the new way. 1 2 3 4 5 NA Comments and improvement suggestions: _____________________________________________________________ _____________________________________________________________ Copyright Prosci 1996-2011 Prosci and ADKAR are registered trademarks of Prosci Inc. 58 ADKAR Scoring Worksheet Add and average the scores in each of the five categories and fill them into the boxes below. (Example: 3 + 2 + 1 + 3 +3 = 12 ÷ 5 = 2.4 59 60 Note: this assessment worksheet is based on the ADKAR model. You can use this worksheet in a face-to-face discussion with an employee or manager. It can be done as a follow-up conversation to an employee’s self assessment or as the assessment itself. The administration of this worksheet should be done by the employee’s direct supervisor if possible. 1. Why do you think the change is happening? For the current change underway, describe the business, customer, or competitor issues that you believe have created a need for change. 2. Do you support this change? What factors affect your desire to change? Would you consider yourself in favor of the change, neutral towards the change or opposed to the change? 3. Do you have the training you need? Identify the skills and knowledge that you believe are necessary to support the change. On a scale of 1 to 5, how would you rate your current training on these skills and knowledge areas? 4. Are you having any difficulty implementing these skills and knowledge? If yes, in what areas? Considering the required skills and knowledge, how would you rate your ability to implement the changes? 5. Are you getting the support you need? Is their adequate reinforcement and support for the change going forward? In what areas can we provide additional support or reinforcement? Once you have determined the barrier point for this individual, you can take action specific to that area. Copyright Prosci 1996-2011 Prosci and ADKAR are registered trademarks of Prosci Inc 61 Coaching Plan Template 1. Target of coaching: 2. Findings from self assessment and interview: 3. Root cause of change aversion/resistance: 4. ADKAR analysis: 5. Coaching intervention strategy: a. who: b. what: c. when: 6. Support or actions needed to help employee: Copyright Prosci 1996-2011 Prosci and ADKAR are registered trademarks of Prosci Inc 62 Appendix D Sample Transition Plan 63 64 65 66 67 68 69 70 Appendix E Coaching Tools 71 What Is Your Coaching Style? All of us have a natural or preferred coaching style. Yet, in addition to knowing your preferred style, you need to understand other approaches so that you can shift to the style that best fits the situation and the employee you are coaching. At one end of the coaching continuum, you’ll find the Teaching coaches. These coaches do a lot of telling because they want to share their expertise so that employees achieve something concrete. This type of coaching is appropriate when tasks are to be performed repeatedly and in a particular way. This technique can be helpful to front-line employees who have to achieve a consistent and predictable outcome in providing a service or accomplishing a task. Also, when a star employee is assigned a new job and/or task, you may need to be a Teaching Coach, as competency in one area does not guarantee competency in another. Coach does the leading. Learner does the leading. Teaching Coach Telling and Selling Showing and Helping Stretching and Challenging Learning-to-Learn Coach Encouraging and Celebrating The Showing and Helping coaching style is used after an employee has learned to do the basic tasks of a job. In this situation, you continue to provide support and guidance as the employee gains confidence. The Stretching and Challenging coaching style takes productive, proficient employees to a higher level of development. Coaching at this stage might involve placing employees in out-of-classification assignments or engaging them in special projects. This coach helps employees step out of the comfort zone of their current job and do something different. At the other end of the continuum are the Learning-To-Learn coaches, who recognize the potential in employees. These coaches provide challenges and opportunities to stretch and to learn how to learn. This coaching style is appropriate when there are multiple paths to a good result rather than just one designated approach. It is particularly helpful when employees are developing as managers or working on projects that break new ground. 72 Coaching Tips and Best Practices Determine where you are on the Coaching Continuum and practice flexing your preferred coaching style to match the unique needs of each employee. Observe employees carefully and have conversations that help uncover the issues and factors that can negatively affect their performance. “Come to the edge. Develop the six core coaching competencies in yourself. Focus on developing those competencies that are most difficult for you. Be familiar with the steps of preparing for feedback and coaching sessions. Make plans to coach each of your employees formally and informally throughout the annual performance cycle, so that you can help employees improve their performance. We might fall. Come to the edge. It’s too high. Come to the edge. And he came. And he pushed. And he flew. Christopher Logue 73 Helpful Hints for the Six Core Coaching Competencies EMPATHIZING The Do’s of Empathizing Invite employees to give you feedback on a frequent basis—once a day, once a week, etc. Use these sessions to demonstrate your ability to listen attentively and show that you appreciate their concerns. Count to five before you say anything critical. Keep your comments calm and measured. Focus on issues, rather than perceived character flaws. Say, “The project is two weeks late,” instead of, “You are lazy.” Concentrate on what can be done to remedy the solution. Take time to check in with employees at all levels to find out what they are concerned about or are experiencing. Offer assistance, as appropriate. Be sensitive to feelings and keep the employee’s confidences. Be sincere and make sure that your actions match your words. Follow through on commitments. Maintain an open-door policy so that employees come to you for feedback. Ask employees how they think you are feeling as a result of their actions rather than telling employees what you think. The Don’ts of Empathizing Avoid sarcastic or judgmental comments such as, “You are not cut out for this type of work.” Stick to the facts. Avoid the temptation to distort, exaggerate, or twist information to your own advantage. Avoid publicly criticizing employees. Such criticism sends two dangerous messages: first, that other employees can expect the same and, second, that you lack good coaching skills. 74 GIVING AND RECEIVING FEEDBACK The Do’s of Feedback Actively demonstrate how things can be done in alternative ways. Follow up with employees to see how they are progressing. Build milestones or checkpoints into the schedule of any program. Give employees a context in which to think about a situation. Use analogies and metaphors to explain what you mean. Offer new insights into old challenges or issues. Show support and appreciation when employees do things differently and show improvement. Help employees focus and build on their successes. Provide concrete and specific examples. Use a straight-talk approach. Recognize and celebrate individual and team successes when they occur. The Don’ts of Feedback Avoid jargon, descriptions that are pompous or vague, and judgmental language, which puts employees on the defensive. Avoid giving destructive feedback or comments. Avoid trying to build a case by linking one particular situation to other situations. Avoid speculating on motives; instead, check your assumptions. 75 LISTENING The Do’s of Good Listening Be a good role model: demonstrate calmness, patience, and attentiveness. Be aware of your own hot buttons. Are there issues, concepts, or words you feel strongly about or that set you off? Let employees share their views and opinions before offering your own. This is particularly important when you disagree with them. Listen for feelings—feelings and motivations can sometimes be more important than facts. Reframe your thinking. Be a sounding board for ideas or concerns. Create a positive and relaxed atmosphere so employees can talk openly. Confirm your understanding by paraphrasing what your employee has said. Watch an employee’s body language, as well as listen to his or her words. The Don’ts of Good Listening Avoid being a mind-reader; don’t assume that there are hidden meanings behind the words. Avoid getting defensive or angry. Don’t create new problems. Avoid interrupting or finishing sentences. Avoid jumping into a conversation to take control. Avoid the assumption that that silence implies agreement or consent. Avoid “why” questions—they are often perceived as a criticism, which puts people on the defensive. 76 CONFRONTING AND CHALLENGING The Do’s of Confronting and Challenging Help employees set different or difficult goals. Encourage a healthy intolerance for mediocrity. Encourage employees to solicit feedback from you and from peers. Show that constructive criticism is an opportunity to think unconventionally. Help employees acknowledge that they lack the knowledge or information that will help them. Help employees break problems into manageable parts; guide them in identifying the root causes of problems or issues. Invite employees to discover their own personal learning style or preferences in terms of how they best like to experience new information. Encourage employees to read books or articles that deal with new or different concepts. The Don’ts of Confronting and Challenging Avoid confusing symptoms with causes. Avoid hesitation when pointing out performance shortfalls Avoid creating an environment where employees are not free to comment, criticize, or play devil’s advocate to arrive at the best solution. Avoid creating an environment that doesn’t allow employees to apply new knowledge or skills. 77 PROBLEM-SOLVING The Do’s of Problem-Solving Ask probing and incisive questions to help identify the causes of a problem. Demonstrate how to use a wide range of problem-solving methods and tools. Encourage employees to think deeply when looking for solutions. Help identify several possible answers or options, not just one. Also, encourage employees to envision the consequences of different courses of action. Help separate fact from assumption. Make sure everyone is comparing apples to apples. Have employees develop a checklist of assumptions so they can verify whether the data is factual. Ask employees to look at their own biases and the limits of their own personal comfort zones. Show employees how to listen to their internal self-talk. How does that internal voice help them move forward? Where does it hold them back? Try to get employees to find at least two or more individuals to confirm any facts or data. The Don’ts of Problem-Solving Avoid accepting the situation or perceived limits at face value. Avoid discouraging employees from associating with diverse individuals who think in innovative ways. Avoid creating an environment where conventional wisdom, paradigms and sacred cows are not challenged. Avoid looking for a solution before understanding the facts and the context of an issue or problem. 78 EMPOWERING The Do’s of Empowering Ask employees to make suggestions and generate ideas of their own. Encourage employees to look for new learning opportunities. Be clear on the expected outcome, but avoid specifying exactly how something should be done. Let employees design their own approach. Encourage employees to take as much responsibility as they think they can handle. Look for specific projects that can provide employees with new challenges. Reward employees when they push or stretch their own personal boundaries or limitations and support employees who make minor mistakes when they try something different. Watch your own behaviors for indications that you may feel a sense of loss or threat when you delegate authority to others. The Don’ts of Empowering Avoid criticizing or imposing punishment when employees try their best. Avoid jumping in too quickly, even when mistakes are made. Avoid assumptions that your employees have all the information they need. Avoid withholding information because you think it isn’t relevant to the job, but also avoid providing excessive detail. 79 Conducting a Coaching Session Prepare for the Coaching Session Although most of your coaching will be informal and impromptu, it’s a good idea to schedule some formal coaching as well. Arrange for a private space where both of you will feel comfortable. Make sure there will be no interruptions during your meeting (such as removing or disabling telephones and mobile phones). Planning the Discussion Regardless of how casual a coaching relationship is, take time to determine what exactly you want from the session and how you plan to achieve it. This includes: Knowing the purpose of the coaching discussion and having a mental picture of what should occur. Understanding what improvement is needed and why; being able to list the specific differences between present performance and desired performance. Being able to explain the impact that the employee’s performance has on the co-workers, the organization, and the employee’s future at the organization. Being able to describe the desired outcomes. Being aware of potential difficulties. Use the Coaching Planning Form to prepare. 80 Conducting the Coaching Session As you and the employee work on improving job performance or achieving new skills during the coaching session, remember that coaching is a partnership. Confirm that you both have the same understanding of the session’s goals. Keep the tone positive. Emphasize your sincerity in wanting to help. Discuss the pros and cons and then agree on desired outcomes. Present relevant data you have gathered during your observation of the employee. Exchange perspectives on the situation or opportunity at hand. Give the employee an opportunity to present his or her ideas and to respond to yours. Listen actively and ask open-ended questions before sharing your suggestions. During the coaching session, be sure to develop an action plan that is agreeable to both you and the employee you are coaching. An Action Planning Worksheet is included. Coaching Beyond the Session Coaching includes having follow-up conversations. Ask how the coaching session was helpful and what could be improved. Your follow-up should include: Asking what is going well and what is not. Sharing your observations and reinforcing positive progress. Looking for opportunities for continued coaching and feedback. Identifying possible modifications to the action plan. 81 Coaching Planning Form Use this form before a coaching session. Take the time so specify exactly what you hope to achieve and how you intend to go about it. Discussion with: Date: Areas where coaching is needed (base this on observations): Purpose of coaching session: Desired outcomes: Why it’s important to coach (e.g., What is at stake? What are the consequences?): Potential Difficulties Methods for Handling 1. 1. 2. 2. 3. 3. Specific Actions 1. 2. 3. 82 Coaching Action-Planning Worksheet Use this worksheet to establish an action plan that is agreeable to both you and the employee you are coaching. It is critical to include specific measures of success and a target review date for any actions to be completed. Action to be Taken Measure(s) of Success Review 83 Six Core Competencies of Effective Coaches Good managers possess good coaching skills, focusing on cooperation and facilitation of employee development. Coaching involves creating a comfortable environment where managers and employees can develop action plans collaboratively. To become the most effective coach possible, strive to master the following six competencies. Empathizing Giving and Receiving Feedback Listening Confronting and Challenging Problem Solving Empowerment These same competencies apply whether you are coaching an individual or a team. Now, take a few moments and read the material on each of the six competencies. Core Competency 1: Empathizing Empathizing is the ability to understand an employee’s viewpoint and feelings. Showing empathy creates a positive climate for coaching communication. We have all felt the empathy of a sensitive teacher or friend, and we have all noticed its absence in an unfeeling coach or boss. Empathy doesn’t mean “I’m okay, you’re okay.” Nor does it mean that leaders should adopt other people’s emotions as their own or try to please everyone else. Empathy means taking employees’ feelings into thoughtful consideration when making decisions. 84 Core Competency 2: Giving and Receiving Feedback Feedback is useful and often invaluable information that tells people how they’re doing and inspires people to act. The purpose of giving feedback is to help employees continually improve their performance. How well do you use feedback to help employees perform at their best? Giving feedback is a way of helping employees to consider changing their behavior. Feedback is most effective when used as part of a frequent, ongoing dialogue between you and those you manage. Keep the following guidelines in mind when giving feedback: Focus on Behavior Describe the employee’s behavior and its impact on projects or coworkers. Avoid “judging” language, which puts employees on the defensive. Example: Instead of “You’re rude and domineering,” you might say, “You interrupted me several times in the meeting so I thought my ideas were unimportant to you.” Be Specific Avoid general terms that don’t clearly describe the behavior you’re discussing. Example: Instead of “You did a really good job” you could say, “You engaged the team really well by asking them meaningful questions.” Be Sincere Give feedback with the intention of helping the employee to improve. Feedback is constructive when it is helpful and encouraging. Example: If a sudden and unavoidable crisis delays a project, suggest how better planning might have minimized the effects of the crisis. Give Feedback Early and Often Frequent, incremental feedback is more helpful than infrequent, sudden feedback. Also, feedback is most effective soon after the behavior has occurred. In some situations, however, you may want to wait until emotions cool down or for a private moment. 85 Honor Requests Although you shouldn’t wait to give feedback until someone asks for it, be aware that the employee who requests feedback is likely to take the feedback to heart more than someone who hasn’t requested feedback. Make Yourself Clear After giving feedback, ask the employee to rephrase what you have said so that you’re sure you’ve been understood. Steps for Giving Feedback 1. Prepare for the feedback discussion. 2. Open the discussion by stating the purpose of your feedback. 3. Focus on the issues. 4. Explain the impact. 5. Invite the other person to respond. 6. Acknowledge your part in the problem, when appropriate. 7. Discuss options and reach agreement on a solution. Steps for Receiving Feedback 1. Remain calm. 2. Listen. 3. Ask questions to clarify for understanding. 4. Acknowledge other persons view point. 5. Briefly correct any misinformation. 6. Express your willingness to hear suggestions or engage in mutual problem solving. 86 Core Competency 3: Listening Good listening involves hearing the words and understanding the emotions and issues beneath the words. The ability to listen attentively and without judgment, advice, or logic is one of the most difficult and prized skills for coaches to master. Emotionally intelligent managers know that listening to employees is critical to forming strong bonds and developing an open, friendly environment conducive to creativity, productivity, and high quality. It also reduces conflict and encourages more creative problem-solving. Like developing a good golf swing or learning to play a musical instrument, listening takes practice. Within the other’s frame of reference 5. Empathetic Listening 4. Attentive Listening Within one’s own frame of reference 3. Selective Listening 2. Pretend Listening 1. Ignoring Asking Questions Asking good questions and the right questions are a crucial part of listening. Questions are a vehicle to encourage employees to tell you what matters to them. There are open questions, closed questions, and questions in between. Because different types of questions yield different responses, use the following chart to determine which type of questions will be most effective in a specific situation. 87 Open Questions These tend to elicit detailed responses and allow the person who is responding to the question to control the conversation. Open-ended questions typically begin with Who What Where When How Why Closed Questions Purpose Invite participation and generate a more lengthy explanation. Explore alternatives and possibilities. Encourage use of different perspectives. Explore attitudes and feelings. Discover underlying issues. Example “What’s happening with the project?” “What would happen if…?” “What is another possible explanation?” “How do you feel about our decision?” “Under what conditions would you take on this project?” These tend to elicit yes or no answers. Focus a response. Confirm your understanding of what a person has said. Make a polite demand. “Is the project on schedule?” “So the critical issue here is cost?” “Can I count you in?” Slightly Closed Questions Encourage a focused and open-ended response. “What do you think are the most important issues here?” These are not quite open and not quite closed. They are specific but encourage some elaboration. Negative Focus Successful Approach “Why were you late?” “What stops you from being here on time?” “How can you start arriving on time?” What would help you get here on time?” “How did this happen? “Why does this always happen?” “What do we need to happen instead?” 88 Core Competency 4: Confronting and Challenging Confronting and challenging is bringing to the attention of your employees their professional issues or problems. To confront and challenge effectively, you must understand the core dimensions of conflict and how you typically deal with situations where conflict is present. All conflicts follow patterns, predictable actions of communication and response. As you try to understand complicated conflicts, remember to observe what happens: who says what, in what order, about what topics, and with what kind of nonverbal communication. Being a good detective helps you become a good conflict analyst. Definitions of Conflict Disagreements, differences of opinions, divergent interpretations, struggles for control and multiple perspectives. Dissatisfaction or disagreement with an interaction, process, product, or service. Divergence of interest, or a belief that all parties’ current aspirations cannot be achieved simultaneously. Conflict Style Conflict style matters because it is a factor that can escalate conflict. Conflict style is a specific form of a person’s general style of interpersonal interaction. It is a person’s patterned responses to conflict in a variety of situations. Direct and Indirect Conflict Resolution Approaches We all know some people who express disagreement in a direct manner, and we know others who communicate their differences of opinion indirectly. Direct Conflict Style Patterns Indirect Conflict Style Patterns Words are the most important part of the message Precise, explicit language Non-verbal cues are the most important part of the message Ambiguity and vagueness in language Reliance on face-to-face resolution of disagreements Reliance on third parties for resolution of disagreements Speaking your mind Discretion in voicing goals Verbally assert difference of opinion Talk around disagreements Focus is on resolving disagreements Focus is on repairing and preserving the integrity of relationships 89 Emotionally Expressive/Restrained Conflict Resolution Approaches The actual emotions we experience (such as fear or anger) are universal across individuals. However, the way these emotions are expressed differs across groups. Called “display rules,” emotional expression is learned from the specific communities to which you belong. Emotional Expressiveness Style Emotional Restraint Style Overt display of emotions Disguised display of emotions Control emotions by “externalizing” Control emotions by “internalizing” Visible display of feelings through nonverbal behavior Minimal display of feelings through nonverbal behavior Expansive vocalization Constrained vocalization Sensitive to constraints on expressing own feelings Sensitive to hurting feelings of other party Emotional information necessary for credibility Emotional suppression necessary for credibility Core Competency 5: Problem-Solving in Coaching Problem-solving is about your ability to find appropriate methods of analyzing employee performance issues and then exploring avenues that might lead to solutions. Problem-solving is an action—a continuous process of alternating phases of: reflecting on a problem testing new solutions reflecting on the success of these actions in particular contexts honing, refining, and adapting these actions according to results and circumstances The most important point is that problem solving involves action. 1. Problem solving is employee-specific. How particular employees respond to the invitation to engage in problem solving varies enormously. Employees vary according to the capacities they have, the abilities they develop, and the experiences they undergo. Also, and maybe most important, are the variable of personality and cultural background. 90 2. Emotions are central to problem solving. The processes involved in problem solving are infused with an emotional dimension. Challenging unquestioned assumptions, looking skeptically at givens you have lived by, and trying to shake off habitual ideas and behaviors so that you can try out alternatives are emotionally potent activities. They may very well produce anxiety, fear, resentment, and feelings of being threatened or intimidated. These activities can also be accompanied by feelings of liberation, release, relief, and the joy of abandoning internalized rules that you have perceived as constantly blocking your growth and development. 3. Intrinsic and extrinsic reasons for problem solving are both important. Learning to problem solve can be arduous. Employees who are most likely to persist in this activity and who are most likely to weather successfully periods of anxiety, self-doubt, blockage, and difficulty, are those who are driven by extrinsic as well as intrinsic motives. Hoping that some direct improvement in areas of their work (and personal life) is one reason employees continue to struggle with difficult tasks and selfdoubts without quitting. 4. Problem solving insights often occur unexpectedly. The moments when employees break through habitual ways of interpreting some idea or action cannot be predicted in advance. Some of the most exciting experiences as a facilitator of problem solving occur when employees depart from the “script” to explore a concern that is of great significance. 5. Peer support is crucial to problem solving. Beginning to problem solve is frequently a very tentative process. You may flirt privately with new and alternative ways of interpreting familiar ideas and behaviors but lack the impetus to realize these in action. When employees undertake problem solving in groups, their private interpretations gain legitimacy as others venture similar interpretations and realizations. 91 Core Competency 6: Empowering Empowerment is about giving your employees the freedom to determine how they will achieve professional goals. To what extent do you create a climate of trust where employees feel they can take risks and make mistakes as they learn? Keys to Empowerment Responsibility Have you ever been reprimanded for failing to do something, yet you didn’t know it was your responsibility in the first place? When people don’t understand their responsibilities, the results are confusion and wasted effort. Authority Without authority, employees are powerless in their ability to get the job done. A common complaint at all levels in today’s workplace is, “I have the responsibility, but I don’t have the authority to get the job done.” Employees often feel stressed and lose their desire to use their talents when their efforts are repeatedly undermined by a lack of authority. Standards Make sure you have the right standards. Low standards waste valuable resources and have a negative impact on productivity and morale. Unrealistically high standards cause stress and don’t allow for a meaningful measure of achievement. The right amount of challenge goes hand in hand with job satisfaction. Information Even in our current Information Age, it is challenging to get the right information in the right amount to the right employees at the right time. Here are some guidelines for determining whether information should be communicated: Does the employee have the capacity to assimilate and use the information? Is the information in a form that the employee can easily grasp and use? Is the information relevant to the job? Will the information help motivate the employee with purpose and 92 pride? Will the information help the employee perform the job better? Recognition While there are many ways to recognize employees, be aware that the way you choose to recognize them sends a message (to both the employee you are recognizing and to others) beyond the mere content of the recognition. Here are some questions to guide you in acknowledging an employee’s performance: Does the recognition acknowledge the employee as well as the accomplishment? Does it reinforce the employee’s sense of selfesteem? Does the recognition convey sincere appreciation? Does the recognition fully acknowledge the employee’s accomplishment? How will the recognition be perceived by the employee’s peers? Is it equal to what you have given other employees for similar achievements? Is the form of recognition appropriate for the achievement? Trust Trust is vital to the health of any working relationship. When employees feel trusted, they are free to concentrate their efforts on the job instead of worrying about how they will justify their actions. Sometimes, it takes the trust of another person for employees to learn to trust themselves. For example, managers who have the confidence and empathy to tell their staff, “It’s okay. I believe you can do it. I trust you,” give their employee the confidence to take appropriate risks. Failure While no one recommends encouraging employees to take a haphazard attitude about their mistakes, a good coach encourages people to see an error as a learning experience rather than as a negative career mark. Here are some questions to guide you in determining when and how to let employees make a mistake: What is the potential cost of the mistake to the agency? What is the potential cost of the mistake to the employee? What is the potential cost of the mistake to you, the manager? 93 Coaching Competencies Self-Assessment Which of the coaching competencies presented in this section would you like to improve in? Place a check mark next to the competencies you’d like to develop further and identify action steps to strengthen your skills. Then work with a partner to identify the areas for improvement within your chosen competency and the actions you intend to take to strengthen your skills within this competency. Competency Area for Improvement Action(s) to Strengthen Empathizing Giving and Receiving Feedback Listening Confronting and Challenging ProblemSolving Empowering 94 Appendix F Communication Tools 95 Key messages outline 1) Messages about the business today a) The current situation and the rationale for the change i) Business issues or drivers that created a need for change ii) Competitive issues or changes in the marketplace iii) Customer issues iv) Financial issues b) What might happen if a change is not made 2) Messages about the change a) A vision of the organization after the change takes place b) Scope of the change (including process scope, organizational scope, systems and technology scope) c) Objectives for the change (what does success look like) d) Overall timeframe to implement the change e) Alignment of the change with the business strategy f) How big of change is needed (how big is the gap between today and the future state) g) Who is most impacted and who is least impacted h) The basics of what is changing, how it will change, and when it will change including what will not change i) What do we know about the design of the change right now j) Details about the solution (process, technology, organizational changes, job role changes) 3) Messages about how the change impacts employees a) The expectation that change will happen and is not a choice b) The impact of the change on the day-to-day activities of each employee 96 c) WIIFM – “what’s in it for me?” – from the employees’ perspective d) Implications of the change on job security (will I have a job) e) Specific behaviors and activities expected from the employee, including support of the change f) Procedures for getting help and assistance during the change g) Ways to provide feedback 4) Status updates and progress reports a) The schedule for the project overall b) When will new information be available c) How will information be shared about the project d) Major milestones and deliverables e) Key decision points f) Early success stories 97 Communication plan template 1) Communication Goals: 2) Key messages and release schedule: Timing Message content Delivery mechanism Sender Date and time First indications that change is likely e.g. Section 1, a-d Face to face at leadership team meeting Primary sponsor 13 June, 1:00 Early stages of the project During the design of the change Before implementation During implementation Postimplementation 98 Communications Checklist Did you answer the question “why is this change happening?” When people learn about a change, their first question is “why?” Acceptance of, and participation in, change increases when people know why it is happening. It is important to reinforce the “why” throughout the entire project, especially if there are large time lapses between communication events. Did you answer the question “what are the benefits and how does the change affect me?” After communicating the “why” about change, the next question people have is “how will this affect me personally?” To gain support from the people who must participate in change, it is important to provide a compelling case about how the participants will be better off or what they will get out of engaging in change. Are you using the right channel to deliver communication? Research shows that employees prefer to hear messages from two people in the organization – the leaders of the organization (for messages about the business issues and reasons for change) and their immediate supervisor (for messages about the personal impact of change.) Are we using face-to-face communication? This is the most effective form of communication. While it is more time intensive, it is an important component of a communications strategy around change. Are you creating opportunities for two-way communication? People need the opportunity to share concerns, provide feedback and ask questions. Two-way communication creates buy-in and provides answers in real-time. Are you repeating key messages five to seven times? When change is first announced, people are usually focused on how it will affect them personally and will not pay attention to the details of the change. Repeating key messages is essential to ensure that what you want to get across is being heard. Err on the side of over-communication. Are you using effective ways to reach employees? The best communications approach uses a variety of channels to reach people – newsletters, presentations, one-on-one, meetings, intranet, Q&A forums, workshops, brainstorming sessions, etc. 99 Appendix G Resources Bridges, William, Managing Transitions: Making the Most of Change, 2nd ed. Boulder Colorado: Perseus, 2003. Leaders need a clear understanding of what transition does to employees and what employees in transition can do to an organization. This updated edition provides practical, step-by-step strategies for implementing change and for minimizing the disruptions it causes. Fullan, Michael G. Leading in a Culture of Change. New York: John Wiley & Sons, 2001. Fullan offers insights into the dynamics of change and presents a unique and imaginative approach for navigating the intricacies of the change process. Kotter, John P., and Dan S. Cohen. The Heart of Change: Real Life Stories of How People Change Their Organizations. Boston: Harvard Business School Press, 2002. Through compelling real-life stories, the authors explore the fundamental question of how to change people’s behavior in an organization. Kotter, John P. Leading Change. Harvard Business Review Press; 1st ed., 1996. Kotter offers dozens of hands-on, practical examples of what drives the engine of change – leadership – and how a purely managerial mindset inevitably fails, regardless of the quality of people involved. Linsky, Martin, and Ronald Heifetz. Leadership on the Line: Staying Alive Through the Dangers of Leading. Boston: Harvard Business School Press, 2002. Leadership experts Heifetz and Linsky show leaders how to put themselves on the line, respond effectively to risks, survive the experience, and celebrate their efforts. McLagan, Patricia. Change is Everybody’s Business: Claim Your Change Power. San Francisco: Berrett-Koehler, 2002. McLagan outlines beliefs, skills, and actions for welcoming and taking advantage of change rather than fearing and resisting it. Scott, Cynthia D., and Dennis Jaffe. Managing Change at Work. Menlo Park, CA: Crisp, 2003. Transition and restructuring are common realities in organizations. The authors offer a step-by-step program that helps managers meet these challenges successfully. ______ Prosci, a world leader in change management research, sponsors the Change Management Learning Center with online access to Prosci’s change management tools, books, articles, case studies and other change management resources. http://www.change-management.com/ 100