A Methodology to Deal with Human Transition
The following approach strives to pull together the principles linking change and transition described in the previous sections. It attempts to make sense of the methods and techniques, to determine the impact of change on those affected, and to help them with the transition to a new personal beginning. In doing so, it transforms resistance to enthusiasm and commitment.
Analyze Stakeholder Concerns and Objections
Within the discussion of business context for an organization and the determination of vision for a process to be renewed, I introduced the concept and techniques for stakeholder analysis. As part of the business analysis, a set of future state attributes were defined for each relationship deemed important. It’s the same set of stakeholder types that can be used to determine the set of potential concerns and responses to them at the beginning of the transition management journey. By anticipating the stakeholders’ concerns, you can avoid many future obstacles. This approach recognizes that those with concerns and objections to transition won’t just be your staff. Your managers, customers, suppliers, and many other stakeholders might also be concerned about the initiative, but for different reasons requiring different messages to be sent to them.
Your first step, then, is to anticipate as best you can the initial concerns and potential objections of all stakeholder types and evaluate the risks to each type should they not support the changes planned. By using the CBAM Stages of Concern, determine the beliefs that each type holds, beliefs that must change, and the kinds of responses that might get stakeholders moving on the journey from stage 0, Awareness, through to at least stage 4, Consequences, during the project. Based on this, you will be able to draft your initial transition strategy and messages as the initiative progresses and as people move through the stages of concern. This process must be repeated regularly to understand which concerns stakeholders are stuck on and whether other concerns have arisen. The changes must be reflected through the communication channels that you will establish.
Develop Statement of Principles for Renewal
From your understanding of the anticipated stakeholder concerns, you can start to develop a set of principles or commitments to your stakeholders. This doesn’t mean that you will implement only changes that everyone will love because most changes will come from business necessity and might be very unattractive to some types of stakeholders. The statement of principles or change charter will lay out the rock-bottom fundamentals on which the effort will rest. This will be a set of unwavering commitments against which everyone will be expected to remain true. It’s a set of mutual commitments that everyone in your organization will keep, no matter how tough, so you had better get them right and gain true support from the top. These commitments are often reusable.
Although not an exhaustive classification, some more common aspects are described in the following sections.
Core Business Principles and Values
This section revisits the beliefs, values, and principles that the organization has already committed to publicly. This is often a good starting point because it should remain stable. Reminding everyone that you will remain true to your fundamental beliefs shows constancy of leadership and cuts through potential perceptions of loss of integrity of the organization’s managers. Statements such as the following aren’t unusual:
We are in business to create value for our customers. As such, it’s our responsibility to provide the quality products and services they require for the lowest possible price and in the timeframes they require.
It’s also our mandate to provide an ongoing return to company owners, and to meet the requirements of other external stakeholders.
In accomplishing these goals, it’s our responsibility to provide a rewarding working environment for our staff.
This initiative won’t violate these principles.
Customer-Focused Design Principles
We all know that, in the long run, our customers pay our salaries and determine the success of our enterprise. Consequently any initiative must deliver value to them. Change principles that put the customers’ perspective as the primary consideration should be made clear to everyone. You won’t sway from this principle. Examples are
End results will be measured primarily in terms of the value delivered to the customer.
We will always make decisions on behalf of the customer as long as it doesn’t violate our other corporate principles.
We will base our solution designs on process performance and select among alternatives based on the best results.
Renewal Project Conduct Principles
A set of commitments and messages dealing with the way the project will be run is key to building confidence and serious support from the organization. Some useful statements are
Solutions will be considered on the basis of all their implications as defined in the process renewal hexagon, not just on one aspect.
The approach will seek to understand the current strengths and weaknesses before redesigning new processes.
Staff at all levels will be given every opportunity to contribute insights and ideas.
All proposals will be the subject of a properly formulated business case that takes a long-term perspective of benefits, costs, and risks.
The business case will be revisited at major milestones, and management must authorize the subsequent phase at each.
Staff Impact Principles
At the base level of CBAM considerations and of Maslow’s Hierarchy of Need is the set of personal concerns. Any set of honest principles must include a comprehensive discussion of the most common personal issues that can’t be ignored no matter how difficult they are to deal with. Some examples of these principles are
Jobs will be secure; there will be no layoffs, but people will be expected to take on new roles.
People moving into new positions will be trained, and time will be built in to learn.
Some people will be asked to assume positions in other units or locations.
There might be some redundant staff as a result. If so, early retirement will be used first.
If there have to be layoffs, those affected will be given fair treatment, including outplacement counseling and severance in accordance with the organization’s collective bargaining agreements.
Management Conduct Principles
In these types of situations, many stakeholders are skeptical of management’s intentions and suspect a hidden agenda. It’s important, then, that management makes commitments about its own behavior that it plans to keep. The most basic of all of these is the commitment to deal continuously with all stakeholders’ suspicions, fears, doubts, misunderstandings, and rumors honestly and with integrity. Managers also might want to state that they will
Be open and share the real vision and goals.
Communicate throughout at regular cycles and at key milestones.
Be available for one-on-one discussions in addition to team sessions.
Recognize and reward those who are contributing toward the project goals.
Respond to concerns within three days.
Give everyone a chance to input ideas and solutions.
Always explain difficult decisions, including why and why not.
Personally share results and findings along the way.
Continue to challenge everyone to do better.
These categories and lists are just some of the types to be considered and are included to provoke your thinking. Each situation is different and will require unique analysis. Regardless, management must keep all stakeholders in the loop even when they think it’s unnecessary. The principles listed here will cover many major and far-reaching concerns, but won’t be comprehensive or specific enough for all stakeholders. A more detailed analysis will be required from the beginning through to the end of the projects, at which time the concerns at higher levels will fall into the realm of the process owner.
Develop the Communication Plan
With a solid understanding of the levels and specific types of concerns of stakeholders and a set of principles to work by, you can build a targeted communication strategy. This will determine the messages to each stakeholder group, as well as the media and timetables to be used to start and maintain the transition process.
Communication should start by addressing the set of common issues at the lowest CBAM Stage of Concern—specifically, answer questions at Stage 0, “What is the proposed change?” and Stage 1, “How does it work?” At the same time, it should develop and deliver the “Principles for Renewal.” Stage 2 concerns—“How will the change affect me and my job?” and “How will I be evaluated?”—require a more targeted plan that links the stakeholder segment to the concerns addressed in the communication, as well as to the actual response, the medium, the frequency, and the messenger. An example of a communication plan for one stakeholder type, the sales staff in a district office, follows in Table 8.1.
| Plan Factor | Description |
|---|---|
| Stakeholder Segment | Sales staff in district offices |
| Concern | We will lose autonomy with the introduction of a common process and a common tracking system. |
| Response | It’s not the solution’s intent to take away any decision-making authority. The result is expected to provide better information about customers and markets so that you can be more effective. Your customers will still be your customers. You will, however, be measured and rewarded on the degree to which you share your knowledge with inside sales people and sales support organizations in the head office. |
| Messenger | Senior VP Sales, District Sales Managers |
| Media | Face-to-face group presentations, sales team bulletins, personal meetings |
| Frequency/Timing | At project kickoff and repeatedly at quarterly sales meetings. |
The communication approach listed here should start with concern management at the very beginning of the project. This is often hard for managers to swallow because they believe, “There are no problems yet. Why raise issues and open the door to problems that we would prefer not to deal with so soon?” Many also might feel that when the change management team knows all the answers, it will tell them. Management must be taught how to handle the concerns so that they are dealt with early, consistently, and credibly.
A valuable approach to dealing with this is the concept of objection management, a well-known approach in sales-oriented organizations. Objection management advocates anticipating objections (or concerns) and being prepared for them, instead of just responding as they occur. It goes even further, suggesting that management should bring as-yet-unstated or unrealized concerns forward. Statements such as, “Some of you might be wondering about your pension benefits under the new plan. Well, we have thought about that too, and our approach is that we will....” Even if the news might not be greeted with enthusiasm, it should be considered for a pre-emptive strike. Credibility and trust will more likely come from integrity and openness than from a perception of hiding. Consider the impact of saying that there will be no layoffs all the way through and then letting 500 staff members go at the end. Imagine the degree of cooperation and transition that wouldn’t occur next time, regardless of the message.
This doesn’t mean that all knowledge is present early on—it’s not. But it’s better to say, “We’ve thought about the concern and don’t yet have an answer. However, consistent with our stated principles, we will let you know as soon as we do.” Trust in transition comes from having proven trustworthiness, not from messages that people would love to hear—especially if the messages and messengers prove to be unreliable later.
It should be clear that you should rely on professionals with public or staff relations skills and experience to handle the actual crafting of the message and the selection of media. Producing the wrong message can have disastrous consequences.
It should likewise be clear that finding the right messenger is paramount for credibility. Those who will have ongoing business responsibility after the initiative is completed should deliver messages. This means an executive in the business area or—better yet—the process owner. In some cases, a message can come only from the CEO. I would suggest sending it down from the highest level with broad credibility that you can possibly get away with. Avoid messages of commitment about the future being sent by project team members who might not be a part of operating the solution. They might be well intentioned but have no post-initiative stake or standing.
In defining the media to be used for communications, it might be wise to use an intelligent mix of low tech and high tech. This will allow frequency and reach while engendering the trust that comes from personal delivery of messages. In any case, make sure that the mechanisms for scheduled and ad hoc communications are in place for one-on-one communication as well as for addressing a whole group. Some considerations would be formal and informal presentations, meetings and drop-in sessions, newsletters, Web sites, videos, audiotapes for the car, education sessions, e-mail, groupware, and discussion group software.
Regarding the timing and frequency of communications up, down, and out, major milestones are opportune moments—milestones as defined by key gating points and the completion of project phases. However, getting into a calendar-based routine that people can count on is also a good practice. Some communications work well monthly or bi-monthly. Each initiative will have its own pattern.
The contents of the communications must include concerns but should also cover progress. In every communication, a reminder of what you are doing and why should be present. Results of measurements, surveys, and other outside stakeholder feedback should be made known. The vision, scope, business case, plans, analysis findings, process designs, approvals, and other significant results should also be made public to build confidence. This is also a perfect opportunity to give visible credit for results, especially early wins involving front-line staff. Many concerns will disappear after stakeholders have faith that the initiative will happen successfully, is being supported, and is in good hands.
Remember that the value will come only after stakeholders see that you are really honoring the communication plan. But be careful because the plan will be discredited if it’s followed blindly without genuinely listening, adjusting when necessary, and updating concerns and strategies as you progress through the project and navigate upward through the stages of concerns.
Turn Key Influencers into Change Agents
Transitioning all stakeholders at once is clearly not an option. Some will be at higher levels of readiness than others. Some will be better informed going in. Some will be more skeptical. Some will take longer. Some have fewer concerns. Within reason, a planned approach is warranted.
One factor for transitioning is trust and faith in those who are respected and trustworthy leaders. Regardless of position in the organization, certain people are looked up to for their views as a bellwether of the issues at hand. A recommended strategy is to identify the leaders whom others will follow. Treat them as the priority stakeholders to initiate the change journey. Because they are people, too, these leaders must transition themselves through concern stages 0 through at least 4. Then, they can help do the job of getting others through their respective journeys.
To do this, you must take these priority stakeholders through the following steps and answer the appropriate questions:
What power do the stakeholders hold, and how well are they supported?
What will be the impact of change on them?
What are the ranked concerns they will most likely be driven by?
What are the responses to deal with these concerns?
You must work diligently to get these stakeholders on board by working closely with them until they are well on their way. At that point you can train them on how to navigate other stakeholders’ concerns and keep the journey moving forward. At some point, a critical mass of supporters will become apparent, and the job will become easier.
Change Agent Example
In one situation with which I was involved, more than 500 front-line staff officers were affected by a project. Many specialists, then working sequentially, were to become full-service case workers. More than 50 supervisors would be the natural first line of respondents to questions from the front-line staff. Our approach was to convert the supervisors to supporting the change, and then have them play an active role in managing the transition of their team members. It was decided to take a risk and deal with all the supervisors at the same time in a one-day workshop to get the ball rolling. The concerns-based approach was adopted.
The first step that day was a presentation by the senior vice president of the unit, with questions and answers regarding stage 0 and 1 concerns. The vice president provided lots of information about the nature of the program, its reasons, and other key facts driving a particular decision. He also announced the “Principles for Renewal of the Initiative” and made a strong commitment to them. The initiative’s plan also was described.
Then each group of supervisors (five to six each randomly grouped) were asked to think about themselves exclusively for a while. At round tables, they were asked to answer the question, “What are your concerns about changes that might affect you personally and as a manager?” They were given ample time to discuss and document their thoughts and feelings. Each table was asked to fill out their responses on blank transparencies with multicolored pens and to deposit them in the center of the table to be picked up during the following break. They were assured that no concern was too personal, subjective, or silly, and that full confidentiality of the author table would be maintained. The concerns sheets were then gathered and read back to the overall group of supervisors via a low-tech transparency projector. The facilitator (myself at that point) then reviewed all concerns with the whole group, and we consolidated the lists and came up with an agreed top 20 concerns of the supervisors.
At that point, the individual tables were then asked to identify a couple of appropriate responses that would deal with each concern while still meeting the objectives of the mandate and still honoring the Principles of Renewal. These, too, were reviewed as a group, and a consolidated list of actions was adopted.
Then and only then was it useful and appropriate to deal with the supervisors’ staffs.
The next activity at their tables was to answer the question, “What do you anticipate will be the concerns of your staff about changes that might affect them?” These, too, were reviewed as an overall group, consolidated, and a top set defined.
The next question was, “Given what you know about the program, what are the appropriate responses to deal with your staff concerns?” After overall review, a top list of responses was developed.
The next questions dealt with the supervisors becoming change agents: “What do you think you can do to help deal with staff concerns?” and “What can you do to make the program successful?”
Subsequent to the session, the materials were consolidated, some holes filled in, and communication packages developed for the participants’ use. They had become part of the solution, not the problem.
The approach worked because the participants created their own change program and, as part of the process, learned how to articulate it. A common commitment was also established among the peer supervisors to support one another with consistent messages. This would not have worked if everyone was given just a set of presentation slides through company mail.
Executing the Ongoing Communication Program
The formal communication program is effective for getting staff from concern stage 0 through to stage 4. After that point it will usually fall to the responsibility of the process owner to keep the journey alive. Stages 5, Collaboration, and 6, Refocus/Refine, are all about communicating your successes with your teammates, sharing knowledge with others, and searching for improvements in practices. These support the objectives of the Nurture and Continuously Improve phase of the Framework. This never-ending part of transition actually reflects a mind-set of the incumbents that says we can always get better, no matter how good we are.
Leading up to this will be the project’s development and implementation activities. During this time period, the change management team must continue to monitor concerns and continue to reinforce the responses to lower-stage concerns. The team must also craft newer and more timely responses for more recent issues and objections. This is especially important at the close of specific phases, but also on a regular calendar cycle, such as monthly. The transition of humans will progress throughout the business change and won’t be done until all staff issues are dealt with.