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Practical Stakeholder Engagement John Sherwood COSAC 2014 © The SABSA Institute 1995 - 2014

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  • Practical Stakeholder Engagement

    John Sherwood

    COSAC 2014

    The SABSA Institute 1995 - 2014

  • 1

    Objectives for this Session

    l Use this session as a workshop l Present some ideas l Discuss the ideas l Capture new ideas l Recruit a team to take the work forward l Develop a white paper by iterating and critiquing drafts l Publish the White Paper under The SABSA Institute with

    joint authorship

    Creating a New White Paper

    The SABSA Institute 1995 - 2014

  • Action

    lAppoint a scribe to capture the ideas lCan be more than one scribe

    The SABSA Institute 1995 - 2014 2

  • Agenda l Stakeholder context theoretical models l Step-by-step stakeholder engagement process l Stakeholder identification: viewpoints and views l Stakeholder intake getting them on board l Stakeholder consultation psychological factors l Stakeholder analysis

    l RACI mapping l Concerns, prioritisation l Input validation l On-going stakeholder engagement l Internal publication

    l Open discussion how best to engage with stakeholders The SABSA Institute 1995 - 2014 3

  • STAKEHOLDER CONTEXT Theoretical Foundations for Systems, Services and Stakeholders

    The SABSA Institute 1995 - 2014 4

  • System of Interest Concept

    The SABSA Institute 1995 - 2014 5

    System Environment

    System of Interest Opportunities & Threats

    Strengths & Vulnerabilities

    Logical System Boundary (not physical)

    External Stakeholders with an Interest in the System

    Internal Stakeholders that are part of the System

    System means a combination of people, processes & technology

    Stakeholders can be both of these

    Stakeholders can be both of these

  • ISO/IEC/IEEE 42010: Meta Framework

    l Standardisation of Terminology and Language for Architecture Work l Conceptual Foundations for Architecture Work

    l Conceptual Model Architecture Description l Conceptual Model Architecture View l Conceptual Model Architecture Viewpoint l Conceptual Model Stakeholders and Concerns

    l Conformance to ISO/IEC/IEEE 42010 l Architecture Description l Architecture Viewpoint l Architecture Framework l Architecture Description Language

    The SABSA Institute 1995 - 2014 6

    Systems & S/W Engineering: Architecture Description

  • The SABSA Institute 1995 - 2014 7

    System of Interest Architecture

    exhibits

    identifies

    Stakeholder

    Concern

    1 1

    1

    n has interests in

    has

    n

    n

    Architecture Viewpoint

    Model Type

    Architecture Description

    Architecture View

    Architecture Model

    identifies

    expresses

    1

    1

    1

    1

    1 1

    n

    n

    frames

    represents

    n

    n

    n

    n

    n

    n n n

    n

    n n 1

    governs

    governs

    conforms to

    conforms to

    represents

    populates

    1

    n

    42010 Conceptual Model

  • The SABSA Institute 1995 - 2014 8

    System of Interest Architecture

    exhibits

    identifies

    Stakeholder

    Concern

    1 1

    1

    n has interests in

    has

    n

    n

    Architecture Viewpoint

    Model Type

    Architecture Description

    Architecture View

    Architecture Model

    identifies

    expresses

    1

    1

    1

    1

    1 1

    n

    n

    frames

    represents

    n

    n

    n

    n

    n

    n n n

    n

    n n 1

    governs

    governs

    conforms to

    conforms to

    represents

    populates

    1

    n

    Our focus today

    E.g.: Business Attributes

    Profile

    Requirements

    People, processes,

    technology and environment

    From which the stakeholder

    views the world

    E.g.: Detailed Attributes

    Ideas and concepts

    (knowledge)

    Documented concepts

    (information)

    What the stakeholder

    sees

  • The SABSA Institute 1995 - 2014 9

    System of Interest Architecture

    exhibits

    identifies

    Stakeholder

    Concern

    1 1

    1

    n has interests in

    has

    n

    n

    Architecture Viewpoint

    Model Type

    Architecture Description

    Architecture View

    Architecture Model

    identifies

    expresses

    1

    1

    1

    1

    1 1

    n

    n

    frames

    represents

    n

    n

    n

    n

    n

    n n n

    n

    n n 1

    governs

    governs

    conforms to

    conforms to

    represents

    populates

    1

    n

    WHAT

    WHO & WHY

    HOW, WHERE & WHEN

    Assets

    BAP as Proxy-Assets

  • The SABSA Institute 1995 - 2014 10

    SABSA Asset Ownership, Custody & Use l Although in one sense assets are owned by the

    enterprise, each asset must have a specific person assigned as the owner

    l An owner is empowered to make decisions about the asset: l How much is it worth? l How should it be used and by whom? l What risks does it face and how should these risks be

    treated? l Sometimes (often) an owner delegates the

    looking after and management of an asset to a custodian

    l Usually an owner allows (authorises) other people to use the asset. These people are called users

    Owner

    Custodian

    User

    Delegates

    Authorises

    Manages use according to

    authorisations

  • Everything as a Service (EaaS) l Supply & demand model l Stakeholder Types

    l Stakeholders are service owners (service providers)

    l Stakeholders are service custodians (service providers)

    l Stakeholders are service users (service consumers)

    The SABSA Institute 1995 - 2014 11

    Infrastructure+as+a+Service+(IaaS)+

    Pla3orm+as+a+Service+(PaaS)+

    So6ware+as+a+Service+(SaaS)+

    Business+Services+

    Business+Processes+

    Business+Value+Chains+

    Peop

    le,+S

    kills+and

    +Com

    petenc

    ies+

    Supp

    ort+P

    roce

    sses+and

    ++Service

    s+

  • STAKEHOLDER ENGAGEMENT PROCESS

    Step-by-Step Process

    The SABSA Institute 1995 - 2014 12

  • The SABSA Institute 1995 - 2014 13

    Stakeholder+engagement+process+

    Stakeholder+iden3fica3on+

    Stakeholder+intake+

    Stakeholder+consulta3on+

    Stakeholder+analysis+

    Stakeholder+input+valida3on+

    Regular+stakeholder+consulta3ons+along+the+project+3meline+

    Internal+publica3on+of+the+business+analysis++ Pr

    ojec

    t+boa

    rd+

    Arch

    itecture+bo

    ard+

    GO

    VE

    RN

    AN

    CE E

    NG

    AG

    EM

    EN

    T

  • Governance: Project Board

    l To provide representation of the stakeholder community l To provide project steering l To monitor the progress of the project against the aims and

    objectives set through the stakeholder engagement and business analysis process

    l To ensure compliance with stakeholder requirements l To provide feedback on evolving business requirements l To ensure that the stakeholder community is kept informed of

    any major issues that might affect the success or outcome of the project

    The SABSA Institute 1995 - 2014 14

  • Governance: Architecture Board l The purpose of the architecture board is to ensure that architectural standards are

    set and that all projects comply with these standards. Specific objectives include: l Creation and publication of architecture standards

    l Architecture development processes l Reference architectures l Maintaining and publishing the architectural artifacts repository l Maintaining and publishing the service catalogue for project use

    l Creation and publication of architecture governance processes l Project submission process l Project approval process l Stakeholder engagement process

    l Ultimate control and approval of project budget release l Conditional on architectural standards compliance l Conditional on compliance with stakeholder requirements

    The SABSA Institute 1995 - 2014 15

  • STAKEHOLDER IDENTIFICATION Finding the Stakeholder Viewpoints and Views, Roles & Responsibilities

    The SABSA Institute 1995 - 2014 16

  • Stakeholder Viewpoints l Lifecycle viewpoints

    l Strategic, programme, project, operational l Functional viewpoints

    l Business Management, Compliance, Information Management, Systems Design, Financial Management, Health & Safety; Human Resources Management, etc

    l Industry Viewpoints l Nuclear Industry, Civil Aviation, Pharmaceuticals, Banking and

    Finance, Energy Distribution, Retail, etc l Legislative and Regulatory Viewpoints

    l Food Safety, Transport Safety, Health and Safety at Work, Crime Prevention, Controlled Drug Use, Building Regulation, etc

    The SABSA Institute 1995 - 2014 17

  • Stakeholder Types l Internal stakeholders:

    l Business owners l Internal Auditors l Quality Managers l Risk Managers l Delivery Managers l Application Managers l Infrastructure Managers l Security Managers l Data Managers l Architects l Development Managers l Others as dictated by the

    specific context

    l External stakeholders: l Customers l Service Suppliers l Equipment vendors l External auditors l Others as dictated by the

    specific context.

    The SABSA Institute 1995 - 2014 18

  • STAKEHOLDER INTAKE Bringing the Stakeholder Community On-board

    The SABSA Institute 1995 - 2014 19

  • Intake Requirements

    l Making contact with each stakeholder l Selling the project and obtaining their buy-in and support l Creating stakeholder commitment l Arranging the logistics of how they will participate

    The SABSA Institute 1995 - 2014 20

  • Creating Stakeholder Commitment l An initial meeting / workshop is used to kick-start the commitment of

    project participants. This will need to be refreshed from time to time. l Regular informal dialogues and a regular progress meetings on a

    periodic basis are used to attain the commitment of key stakeholders. l Commitment of key stakeholders should be maintained by keeping

    them informed of all current matters. l The governance framework, comprising the Stakeholder Engagement

    Process, the Architecture Board and the Project Boards is also a key mechanism for maintaining and strengthening stakeholder commitment.

    The SABSA Institute 1995 - 2014 21

  • Getting the Right Stakeholders

    l Making the approach to stakeholders l Selling them the ideas l Gaining their commitment, sponsorship and enthusiasm l Setting up the steering group (Project Board) l Arranging meetings and workshops l Dealing with political sensitivities l Seniority versus expert knowledge

    The SABSA Institute 1995 - 2014 22

    Lets discuss: How should we do this?

  • STAKEHOLDER CONSULTATION The Real Engagement: Psychological Factors

    The SABSA Institute 1995 - 2014 23

  • The Importance of Language

    The SABSA Institute 1995 - 2014 24

    l Negative Terminology l Threat l Vulnerability l Prevent l Loss l Impact l Mistrust l Uncertainty

    l Positive Terminology l Opportunity l Strength l Enable l Gain l Benefit l Trust l Assurance

    Neuroscience tells us to think positive: it will make you feel better Get your stakeholders to think positive: they will feel better too

    Neuroscience: Nominalisation How the Human Brain Works We are hard-wired to feel before we think. Emotions precede thought by about 8 milliseconds

  • Objectives for Stakeholder Engagement

    l Engaging with - not Managing the stakeholders l Relationship development l Hearing stories l Gathering and documenting information (the role of the scribe) l Validating inputs l Increasing stakeholder commitment

    The SABSA Institute 1995 - 2014 25

  • Them & Us or We l Social engagement were all people (social animals)

    l Let the meeting settle in l Degrees of Intimacy versus Formality

    l Arranging the seating for a meeting l Team Building

    l Relationship Building (investment of time) l Leadership Styles l Power Games and Politics

    l Observer or player? l Chance Encounters the Elevator Pitch The SABSA Institute 1995 - 2014 26

  • Presentation Styles l Failing to plan is planning to fail

    l Plan for unexpected outcomes l Previous meeting overruns giving the short version l Overlap with previous presenters stakeholder boredom

    l Eye contact and body language l Telling the story:

    l Tell them what youll tell them, l Tell them l Tell them what you told them

    l Avoid information overload l Aim only at areas of interest to the stakeholder(s) l Simple key messages, well structured l Most important messages first to get engagement l Talking the Talk versus Death by PowerPoint The SABSA Institute 1995 - 2014 27

  • Problem Stakeholders l Technical geeks who think they understand the business without

    consulting the business people l Business people who think they understand the technology without

    consulting the technologists l I need encryption or but its encrypted so everything is OK

    l Stakeholders who feel threatened by change: job security, status, etc. l Architects who live in ivory towers l Conflicting stakeholder views requiring resolution l Inconsistency in project approval processes depending on random

    allocation of individuals l Self-important bureaucrats who seek power by blocking progress l The security geeks who see themselves as policemen l Auditors with checklist mind-sets l Project managers who think they are subject matter experts The SABSA Institute 1995 - 2014 28

  • STAKEHOLDER ANALYSIS Analysing gathered information

    The SABSA Institute 1995 - 2014 29

  • Objectives

    l Analysis of stakeholder inputs (stories) l Cross-reference between inputs of various stakeholders l Creation of business drivers, critical success factors (CSFs) and user

    stories l Prioritization of business drivers, CSFs and user stories l Analysis of project risks such as:

    l Resource shortages l Untried new technologies being considered l Cultural changes required for project success letc.

    The SABSA Institute 1995 - 2014 30

  • RACI Modelling

    l A RACI Matrix is widely used to describe the roles and responsibilities of various teams or people in delivering a project or operating a process.

    l It is especially useful in clarifying roles and responsibilities in cross-functional/departmental projects and processes.

    l The acronym stands for: l Responsible l Accountable l Consulted l Informed

    The SABSA Institute 1995 - 2014 31

    The RACI Matrix is a tool for assigning responsibility types to roles

  • RACI Matrix Explained

    l Responsible (R) l The person or team that perform the tasks to achieve the objectives l There may be multiple resources that are responsible for delivery of

    these outputs l Accountable (A)

    l The person who is ultimately answerable for the correct and thorough completion of the task. There MUST be EXACTLY ONE A specified for each task. Accountability implies ownership.

    l Consulted (C) l Those whose [expert] opinions are sought. Two-way communication

    l Informed (I) l Those who are kept up-to-date on progress. One-way communication

    The SABSA Institute 1995 - 2014 32

  • Accountability / Ownership

    l Dealing with Overlaps l If more than one resource is identified as being accountable, or

    the owner there is a problem of overlap. l This may be resolved by making an executive decision which of

    the possible candidates is to be held accountable? l This may also be solved by drilling down to the next level of

    detailed analysis, where perhaps accountability splits up into a number of sub-accountabilities for individual owners.

    l Dealing with Gaps l Where no-one is identified as being the owner and held

    accountable, someone must be appointed to that role.

    The SABSA Institute 1995 - 2014 33

    Accountability requires exactly ONE resource no gaps, no overlaps

  • SABSA Extended RACI Roles

    l Communicates (Com) l Those who are responsible for initiating and managing communications, either

    to consult or inform others l Monitors (M)

    l Those who are responsible for monitoring and reporting on progress, on risk levels, or on other similar changing parameters

    l Reviews (Rev) l Those who are responsible for looking at the work output of others and

    commenting and creatively criticising it for quality assurance purposes l Verifies (V)

    l Those who check that the work product output from others complies with the specification and acceptance criteria for that work product

    l Signs off (S) l The party who formally approves the V decision l At the highest level this is also the same party who holds the A role

    The SABSA Institute 1995 - 2014 34

    RACI is just a concept extend it as you find necessary

  • RACI Methodology Step 1: Identify all the stakeholders in the project, process or activity

    and define their roles Step 2: Align each stakeholder / role with one or more of the RACI

    responsibility types Step 3: Ensure that all the RACI responsibility types (and SABSA

    extensions) are covered Step 4: Ensure that there is only ONE single A responsibility for

    each project, process or activity Step 5: Give consideration to where there may be a need for

    segregation of responsibility types (e.g. R and V should usually be segregated)

    Step 6: Ensure that everyone knows their responsibility types and is fully trained and competent to carry out that responsibility

    The SABSA Institute 1995 - 2014 35

  • Cross-Mapping RACI to Ownership l Owner

    l The owner is, in RACI terminology, the one held accountable (A, plus Com and S)

    l The owner is also possibly responsible to some extent for the certain work product outputs (can be R, I, C, M, Rev, and V)

    l Custodian l The custodian is, in RACI terminology, the one responsible for

    producing work on behalf of the owner of the project, process or activity (can be R, C, I, Com, M, Rev, V and S)

    l User l The user is, in RACI terminology, responsible for accepting and

    making use of the owners and custodians work products (can be R, C, I, M, Rev, V and S)

    The SABSA Institute 1995 - 2014 36

  • The SABSA Institute 1995 - 2014 37

    Acc

    ount

    able

    Con

    sulte

    d

    Info

    rmed

    Verif

    ies

    Sig

    ns o

    ff

    Com

    mun

    icat

    es

    ..etc Activity 1.3

    Activity 1.1 Activity 1.2

    Activity 2.2 Activity 2.1

    Risk Management Process Steps

    Stakeholder RACI Roles

    Activity 3.1

    etc

    etc

    Activity 3.2 Activity 3.3

    Mon

    itors

    Rev

    iew

    s

    Res

    pons

    ible

    Activity Group 1

    Activity Group 2

    Activity Group 3

    Stakeholder

    Job Roles

  • Stakeholder Prioritisation (Source: OGC M_o_R page 93)

    The SABSA Institute 1995 - 2014 38

    Importance of Stakeholders to Activity

    Pot

    entia

    l Im

    pact

    of A

    ctiv

    ity o

    n S

    take

    hold

    ers

    High

    High

    Medium

    Medium

    Low

    Low

    Owners

    Custodians

    Users

  • The SABSA Institute 1995 - 2014 39

    RACI and the Enterprise Models

    l Apply RACI modelling at every stage of the Enterprise Lifecycle l SABSA Extended RACI Matrix for every:

    lStrategy lProgramme lProject lOperational process

    l Apply RACI modelling at every level of every domain hierarchy l SABSA Extended RACI Matrix for every:

    lBusiness unit lBusiness function lBusiness process

    Apply RACI at every Identified Viewpoint

  • Stakeholder Mapping: Structure

    l Documenting the stakeholder details l Spread-sheet or database

    lA directory of all identified stakeholders l Columns for stakeholder descriptors l Rows per stakeholder l Project team resource for project management (not published

    team confidential) l Kept up-to-date by a team member

    The SABSA Institute 1995 - 2014 40

  • Stakeholder Mapping: Content

    l Stakeholder Descriptors l Names (individuals or groups) and Job Titles, Roles etc. l Contact details (Building & Room number, Phone, Mobile, email, etc.) l Reporting structure (up and down in the management hierarchy) l Importance of stakeholder activity (high, medium, low) l Potential impact of project on stakeholder activities (high, medium, low) l Overall stakeholder priority rating and level of influence (A, B, C, D) l Stakeholder concerns (cross-reference to detailed documentation) l Engagement status Cross reference to detailed documentation

    meeting notes, records of engagements, planned future engagements, etc.

    l Comments for additional notes on each stakeholder The SABSA Institute 1995 - 2014 41

  • Stakeholder Concerns Matrix l Matrix mapping between stakeholders and concerns l Show clustering of main concerns l Populated with extended RACI

    The SABSA Institute 1995 - 2014 42

    Concern A Concern B Concern C Concern Z

    Stakeholder 1

    Stakeholder n

    Stakeholder 1

    A, S, Com R, M I

    C, Rev

  • Stakeholder Input Validation

    l Presentation of the business drivers, CSFs and user stories back to the stakeholders from whom they originated to check that the business analysis is correct.

    l Presentation of the business analysis at the most senior stakeholder level to ensure that it is consistent with high level corporate goals and independent of personal agenda.

    The SABSA Institute 1995 - 2014 43

  • On-going Stakeholder Consultation

    l Regular stakeholder consultations along the project timeline l To ensure that evolution of business requirements can be

    tracked and reworked into the business analysis on an agile basis

    l To flag up any major changes that will impact downstream project work

    l To keep stakeholders up-to-date on progress and maintain their confidence in the project

    The SABSA Institute 1995 - 2014 44

  • Internal Publication

    l Internal publication of the business analysis to stakeholders and project team members who will use these inputs l Providing an intranet publication service for stakeholder and

    project team use l Ensuring traceability of downstream project work l Providing for agile adaptation of requirements as the project

    moves forward and requirements evolve over time l Providing an up-to-date view of project risks and issues, the plans

    for their resolution, progress towards resolution and eventual closure

    The SABSA Institute 1995 - 2014 45

    Sharing the Process Outputs

  • Action

    l Open discussion on content l Open discussion on developing our white paper l Recruitment of group members for the white paper

    development

    The SABSA Institute 1995 - 2014 46