From Vision to Reality: The Art of

Implementation

Russ Linden

russlinden@earthlink.net Website: www.russlinden.comBlog: http://russlinden.wordpress.com

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About Russ LindenRuss Linden is a management educator and author who specializes in organizational change methods. Since 1980, he has helped

government, non-profit and private-sector organizations develop leadership, foster innovation, and improve organizational performance. He is an adjunct faculty member at the University of Virginia, University of Connecticut, and the Federal Executive Institute. He writes a column on management innovations for Management Insights, an online column sponsored by Harvard’s Kennedy School of Government and Governing Magazine. In 2003 he was the Williams Distinguished Visiting Scholar at the SUNY (Fredonia) School of Business.

He has published numerous articles, and five books. His book Seamless Government: A Practical Guide to Re-engineering in the Public Sector (Jossey-Bass, 1994), was excerpted in the May, 1995 issue of Governing Magazine, and has been translated into Chinese. His book Working Across Boundaries: Making Collaboration Work in Government and Nonprofit Organizations, is now in its 7th printing. It was a finalist for the best book on nonprofit management in 2002 (awarded by the Alliance for Nonprofit Management). His latest book, Leading Across Boundaries (Jossey-Bass, 2010), describes the process of forming collaborative teams, the leader’s role in creating collaborative cultures, emerging trends that support collaboration (including Web 2.0), international examples, and methods for dealing with difficult people and situations when collaborating.

His clients have included the National Geographic Society, several military and intelligence agencies, a partnership of the Forest Service and Bureau of Land Management, Drug Enforcement Administration, National Park Service, U.S. Departments of Treasury, Interior, HHS, State, and Education, a governor, two state attorneys general and over four dozen state and local government agencies. He’s also worked with several non-profit agencies in the U.S. and Israel.

Before beginning his full-time practice, Russ was a Senior Faculty Member at the Federal Executive Institute. He served as the Director of Executive Programs at the University of Virginia's Center for Public Service, taught at the UVa McIntire School of Commerce, and worked in the human services field for 10 years. His volunteer commitments include scholarship programs that help low-income youth afford college. Russ Linden's bachelor's and master's degrees are from the University of Michigan. His Ph.D. is from the University of Virginia. He and his wife have two adult children. They live in Charlottesville, VA. For more, see his web site: www.russlinden.com.

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Implementation: Two examples

One that should have gone better: leading change at the Dept. of State

And one that went better than expected: a collaboration among natural resource agencies.

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Collaboration among natural resource agencies – Service First

Some results:

• Over 20 co-located field offices• One-stop service centers, serving both agencies’ customers• Integrated operations in several locations• Financial savings from reduced duplication• Improve land stewardship, from improved collaboration

A key learning: the relationship among line mgrs. was a criticalsuccess factor.

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“Implementation is ultimately what government is all about.” -- Gordon Chase*

The good news about implementation:

Most managers get energized by implementation opportunities.

Implementation taps our “get-it-done” mentality.

It can remind us why we signed up for this work years ago.

It brings career opportunities.

It’s our chance to make a big difference in people’s live.

* From How to Manage in the Public Sector, by Chase and Reveal.

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Our Goals: Learn … How to take a program idea (ours, someone else’s)

and make it a reality,

The key skills needed,

Some proven strategies for implementing programs,

How to anticipate and overcome the many speed bumps,

Tools for implementation, and

Common implementation phases.

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Some challenges to implementation Psychological: we often jump from concept to action, without

adequate planning.

Political/Turf: If it’s a new program, some are likely to be threatened/oppose it.

Systemic: The Framers created a gov’t based on fragmented power. Everyone on the gov’t “bus” can hit the brake!

Organizational/Human: “People do not resist change … People resist loss.”*

* From Leadership on the Line, by Heifetz and Linsky, p. 11.

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Some challenges to implementation (cont.) Obtaining needed resources (without creating

enemies) Finding an executive sponsor Obtaining subject-matter experts (who are often

needed for other projects) The program idea is tied to the last administration Stakeholders have different/competing expectations Leaders lose interest; idea is “OBE”

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Some challenges to implementation (cont.) Another kind of challenge:

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Some implementation challenges

What other challenges to implementation have you experienced?

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Our learning activities, course agenda

Cases

Guest speakers

Some tools

Analysis of video clips

Your own “case” – develop a plan to implement a program or service

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Implementation that’s not going well: The National Park Service

NPS mission includes preserving resources in our nat’l parks

Its leaders emphasize the use of partnerships

Major partnership opportunity: Maintenance

Maintenance function very large: sometimes ½ of a park’s FTE

Maintenance staff may work in same park entire career

Their pay not high, but they take great pride in their work

Often understaffed

Issue: How help maintenance staff get comfortable working with volunteer partners, to maintain parks?

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The National Park Service Superintendents offer many incentives to partner:

Volunteers are eager to help

They’ll do work the staff can’t get to

They’ll spot unmet needs

Volunteer partners increase public support for parks

Volunteers do low-skill work, free up maint. for higher skill tasks

Working with volunteers will give maint. staff good experience that enhances their careers

Forming partnerships is one of the agency’s priorities

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The National Park Service

Maintenance staff know their superintendents want them to work with volunteers, but they often oppose it.

Why?

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Effective implementation usually begins before it begins

When implementing a program, what are some steps you’ve taken (or, wish you took), prior to “starting”?

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Getting started before you “start”• Do homework. History of past efforts? Results? Who’s likely to be

threatened? Who wants it to work?

• Before selling the solution, “sell the problem”

• If possible, keep plan general at the outset so others’input can be used

• Do a stakeholder analysis

• Identify the “veto holders;” learn their interests (FDA embedded OGC and IT staff in their impl. teams)

• Create a communications plan (and team); identify the audiences, the information important to each

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Before selling the solution, “sell the problem”

A great example of “selling the problem” up front:

The Declaration of Independence

The 2nd sentence includes truly inspiring words: “We hold these truths to be self evident, that all men are created equal and are endowed by their Creator with certain unalienable rights…”

But fully 2/3 of the Declaration lists complaints against the king. Jefferson’s main objective was to sell the problem.

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Getting started (cont.)• Connect the program to current agency priorities

• Seek an executive sponsor; can the program solve a problem on his/her mind?

• Involve key line managers who’ll have a stake in the program; they’ll be there long after appointees leave

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Discuss the read-ahead

1. What did JIVA’s leaders do well?

2. What did they do poorly/overlook?

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Force Field Analysis: An important planning tool

FORCE FIELD ANALYSISDRIVING FORCES RESTRAINING FORCES

GOAL:

4 3 2 1 -1 -2 -3 -4

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Force Field Analysis example: the JIVA case

FORCE FIELD ANALYSISDRIVING FORCES RESTRAINING FORCES

GOAL:

4 3 2 1 -1 -2 -3 -4

Serve Customers

Team Leaders

Motivated Analysts

Software

Mid Manager Resistance

No Metrics

Some Leaders

Need to Know

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Force Field Analysis: An important planning tool

Write down the goal

Identify the driving forces – those internal and external factors that can help achieve the goal

Identify the restraining forces – internal/external factors that are hurdles to achieving the goal

Decide the length of each line (length = its strength)

Identify a few restraining forces that you/your team can influence: how can you reduce or neutralize those forces?

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Your projects

Fill out the first 2 questions in the project worksheet.

Find a partner. Explain your project to each other.

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Implementation strategies that work in most cultures

1. Leverage the power of an impassioned champion(s)2. Set broad goals, involve stakeholders in the plan3. Don’t oppose forces, use them4. Raise the stakes5. Change the scale; chunk it down or enlarge it6. Use “pull” as well as “push”7. Develop trusting relationships

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1. Leverage the power of an impassioned champion(s)

It’s great to have a senior champion/exec. sponsor

But it’s usually critical to have a champion at the working level

A great example of having both: Washington, Madison, and the U.S. Constitution

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1. Leverage the power of an impassioned champion(s)

A project champion is one who:

• Is passionate about the project and makes it a priority,• Has credibility among the stakeholders, and• Has some clout.

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1. Sometimes, champions have to be tough; almost always, they need to be resolute

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The tasks of the working-level champion

Articulate the project’s purpose in a way that excites others

Get appropriate people to the table and keep them there

Help parties see common interests, and the benefits from joint effort

Generate trust

Celebrate small successes, share credit widely

Find a senior champion for the effort

Provide confidence, hope, resilience

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2. Set broad goals, involve stakeholders in the plan: INEAP

Interagency Network of Enterprise Assistance Providers

Began in ’06, after consultation with her leaders, stakeholders

Carroll Thomas Martin was a GS-14 at NIST at the time

She was passionate about creating a network of orgs. that servesmall businesses

She had run a small business, contacted gov’t agencies for assistance, none could help (or tell her who might help)

She developed idea of info-sharing alliance among gov’t agencies

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2. Set broad goals, involve stakeholders in the plan: INEAP

She shared idea with manager who said OK (but wasn’t involved)

She wrote concept paper, found a colleague at SBA who liked it

She and her colleague met with potential partners over lunch (one at a time), explained idea, sought input, listened carefully

She revised plan over 10 times (!) based on the input

Carroll was flexible on INEAP’s design, focused on broad goals

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2. Set broad goals, involve stakeholders in the plan

The network started small; 6 attended first mtg.

As people saw the benefits to them/their customers, they got excited; soon membership grew rapidly

They rotate mtg. locations, all contribute to agendas

Carol is very open; shares problems, invites all to exchange ideas

One reason it’s worked: nobody thinks Carol is in it for power. It is all about networking to service small businesses

There is no cost to belonging (except one’s time)

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2. Set broad goals, involve stakeholders in the plan

INEAP – a few results

INEAP now has members from over 60 agencies

INEAP members share best practices (e.g., how companies can reduce energy usage) which are helping their clients

At regional INEAPS, cross-trained employees provide businesses information from several agencies (not only their own)

The Green Suppliers Network helps large companies share info on reducing pollution without raising costs; these tips are shared with their suppliers

INEAP has provided training on lean manufacturing

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2. Start with broad goals … Carroll Thomas was a great champion. One reason for

her success: she stated general goals, and invited stakeholders to craft the plan

What are some advantages to this approach?

What are some potential downsides?

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The phases that some implementation projects follow …

1. Getting intelligence

2. Getting organized

3. Getting commitment/performance

The INEAP network is a good example of doing the first two phases well. It also demonstrates a dilemma of the third phase.

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3. Don’t oppose forces, use them Aikido uses your opponent’s energy to your benefit

This is what Russ learned (too late) at the State Dept.

EXAMPLES:

The rumor mill

Dealing with contrarians

The egotist who wasn’t heard

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3. Don’t oppose forces, use them

EXERCISE:

Apply this strategy to the hurdles you identified yesterday.

Which ones could be opportunities?

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Your projects

Fill out questions 3 through 4 in the project worksheet.

Get with your partner, discuss responses.

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4. Raise the stakes: the Charles River case

Cleaning up the Lower Charles River

By 1995 river had been filthy for over 50 years

Some rowers got tetanus shots before going in the water(!)

Was swimmable 19% of time, boatable 39%

After multiple clean-up efforts, nobody wanted to try again …

Except for the Regional EPA administrator

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4. Raise the stakes: the Charles River case At ‘95 Charles Regatta, EPA reg. admin. announced a goal:

The Lower Charles will be swimmable by 2005.

300,000 were in attendance The venue guaranteed major media coverage Many nonprofits offered to help EPA offered carrots and sticks to gov’t agencies in area; also

sued Boston U. for spills in the river Harvard and other ed. institutions quickly offered to help (!) 6 months later, EPA reg. admin. gave the river quality a “D.” The media covered the story well; they liked his candor, became

partners in keeping pressure on agencies to perform 8 agencies started meeting with EPA, which tapped their expertise

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4. Raise the stakes: the Charles River case

Agencies monitored river in 37 locations. It put cause-effect together after spills

EPA provided tech. assistance, resources to cities/companies on the river to reduce their emissions

EPA gave polluters 2 months to begin cleaning up, or face citations/fines

Media gave major attention to all water quality grades (EPA briefed them the day before each announcement)

Media also noted which orgs. were active players, which weren’t

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4. Raise the stakes: the Charles River case

After 5 years, on Earth Day, 2000, EPA gave the river a grade of “B.” It said that the river was now

Swimmable 65% of timeBoatable 90% of time

For an excellent account of this story, see Shelley Metzenbaum’s “Measurement That Matters: Cleaning Up the Charles River,” at www.ksg.harvard.edu/visions/performance_management

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4. Raise the stakes

Some other ways to “raise the stakes” of your project:

Involve a senior leader (or other well-respected person) who is invested in the project’s success

Connect the project to a higher purpose

Connect the project to one of org’s strategic objectives

Invite customers to tell team why the project matters to them

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5. Change the scale: chunk it down, or enlarge it

Examples of chunking it down:

Manage expectations (avoid bells, whistles) Conduct small pilots, learn from them Implement in phases, each with visible deliverables Monitor, report progress frequently (like the Charles River project) Thos. Jefferson and his “Academical Village”

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5. Change the scale: chunk it down, or enlarge it

“If you can’t solve a problem as it is, enlarge it.”-- Dwight Eisenhower

Two ways to enlarge it:

1. Put the problem into a larger context

2. Widen the number of people involved in solving it

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5. Change the scale: enlarge it

The Philadelphia Phillies, Clearwater Fl., and the new stadium.

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6. Use “pull” as well as “push”

Push – using the power of our formal authority

Pull – tapping an internal need, goal, or value in others

“Push a string and it goes nowhere … Pull a string and it follows you wherever you go.” – Dwight Eisenhower

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6. Use “pull” as well as “push”Joshua Chamberlain and the Union deserters from Maine

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6. Use “pull” as well as “push”Some examples of using pull we’ve seen:

Madison’s efforts to get Washington to attend the Con. Convention

Carroll Thomas’ meetings with stakeholders, using their ideas in the plan

The detective’s last comment to the police chief: “I think you know what the right thing to do is sir.”

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Sometimes, we need to find others who can pull people along

Bill Leighty and the Form 47 office

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The art of influence 7 sources of influence:

Positional – legitimate power of your position or jobReward – your ability to provide rewardsCoercive – your ability to withhold rewards/be punitiveExpert – your specialized knowledgeReferent – your “likeability,” trustworthiness, credibility Affiliative – your connections/access to others with powerInformation – your access to information valued by others

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Effective influence: Eisenhower and Operation Overlord

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Eisenhower and Operation Overlord

1. Which sources of influence did he use?

• Positional• Reward• Coercive• Expert• Referent• Affiliative• Information

2. What other ways did he use influence skills?

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The art of influenceThink about yourself. When trying to influence others …

1. Which of these sources do you frequently use?2. Which would you like to use more/more effectively?

• Positional• Reward• Coercive• Expert• Referent• Affiliative • Information

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The art of influence: the power of validators

Validators have credibility with certain audiences.

Issue: Possible validator:

2010 health care act Your physicianSoc. Security changes AARPWhich school for your child? Another parent

QUESTION: Who are some potential validators for your project?

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Influence role play

Each of you will take a turn giving a short presentation to your colleagues; they’ll play stakeholders in the project you’re pitching.

I. Prep: describe the project, their roles 5 min.

II. Conduct role play: 10 min. total:Your presentation: 4 min.Stakeholders’ reactions/questions: 6 min.

III. Debrief 5 min.

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Influence and change: Lessons from the book Switch

The authors offer a 3-part model for change:

1. Direct the “rider,” the rational part of our brain

2. Motivate the “elephant,” our brain’s emotional part

3. Shape the path, making it easier to change

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Influence and change: Lessons from the book Switch

1. Direct the “rider”

2. Motivate the “elephant,” our brain’s emotional part

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Influence and change: Lessons from the book Switch

3. Shape the path, making it easier to change

Think about your project this week (or other work initiatives):

Could you apply these strategies to facilitate easier?

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Remaining flexible once you launch …How to stay in touch with early results and reactions?

• Find your “canary in the coal mine”

• Ask people, “what are you hearing?”

• Select a “designated worrier,” and listen carefully

• Get up “on the balcony”

• Adopt a “ready, fire, aim” approach

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Remaining flexible once you launch

Some examples:

• Find your “canary:” In classroom situations

• “What are you hearing?” The “good to great” project

• Get up “on the balcony:” The ATF plan that none of the agents would have read

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What these approaches have in common: situational awareness

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POP QUIZ:

On April 18, 1775, Paul Revere rode from Boston toward Lexington, warning of the British plan to attack Lexington. Colonists along the trail quickly prepared to fight the British.

Another revolutionary, William Dawes, took a different route to Lexington carrying the same message. Few colonists responded.

Why not?

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The 7th strategy: Develop trusting relationships

Positive relationships give us credibility (that was Revere’s advantage)

They also shield us when things go poorly:

Studies show that patients rarely sue doctors they like (even when the doc made a big mistake)

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Forming relationships: Mandela and the capt. of national rugby team

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7. Develop trusting relationships The best time to form relationships: before you need

them:

“MBWA” (managing by wandering around) is an effective approach

So are regular lunch meetings

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Other ways to form relationships

Discuss the approaches in Leading Across Boundaries (pp. 60-70):

Which have you tried? Results?

An excellent book to check: The Speed of Trust, by Covey

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EXERCISE

Review the various implementation hurdles we’ve identified this week. And think about the challenge you’re working on in class.

What are the most likely hurdles to implementing your project? What strategies might help? Can you use any sources of influence to address some hurdles?

Complete questions final sections of your Worksheet.

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Final Thought …

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Course Summary – Some key ideasGetting started:

• Do homework. History of past efforts? Results? Who’s likely to be threatened?• Before selling the solution, “sell the problem”• If possible, keep plan general so others’ input can be used• Do a stakeholder analysis (see Stakeholder tool)• Identify the “veto holders” who can shoot it down; learn their concerns, interests• Create a communications plan (and team); identify the audiences, the information

important to each • Connect the program to current agency priorities• Seek an executive sponsor; can program solve a problem on his or her mind?• Involve key line managers who’ll have a stake in the program• With stakeholders, create the plan: build program in small chunks

(continued on next slide)

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Course Summary (cont.)7 General Strategies to Consider:

1. Leverage the power of an impassioned champion(s)2. Set broad goals, involve stakeholders in the plan3. Don’t oppose forces, use them. 4. Raise the stakes5. Change the scale; chunk it down or enlarge it6. Use “pull” as well as “push”7. Develop trusting relationships: Seek support of informal leaders, other credible people

7 Sources of Influence:

PositionalRewardCoerciveExpertReferentAffiliativeInformation

In addition, leverage the influence of key “validators”

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ReferencesBossidy and Charan: Execution: The Discipline of Getting Things Done. Crown

Business Press, 2002.

Carlin: Invictus: Nelson Mandela and the Game that Made a Nation. Penguin, 2008.

Chase and Reveal: How to Manage in the Public Sector. Addison-Wesley, 1983.

Collins: Good to Great. Harper Business, 2001.

Collins: Good to Great and the Social Sectors. 2005.

Conger: Winning ‘em Over: A New Model for Management in the Age of Persuasion. Simon and Schuster, 1998.

Covey: The Speed of Trust. Free Press, 2006.

Cuming: The Power Handbook: A Strategic Guide to Organizational and Personal Effectiveness. Van Nostrand Reinhold Co., 1981.

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ReferencesDuhigg: The Power of Habit: Why we do what we do in life and business. Random House,

2012.

Eggers and O’Leary: If We Can Put a Man on the Moon: Getting Big Things Done in Government. Harvard Business School Press, 2009.

Gladwell: The Tipping Point: How Little Things Can Make a Big Difference. Little Brown and Co., 2000.

Goldsmith and Eggers: Governing by Network: The New Shape of the Public Sector. Brookings, 2004.

Heifetz and Linsky: Leadership on the Line: Staying Alive Through the Dangers of Leading. Harvard Business School Press, 2002.

Heath and Heath: Switch: How to Change Things When Change is Hard. Random House, 2010.

Linden: Leading Across Boundaries: Creating Collaborative Agencies in a Networked World. Jossey-Bass, 2010.