practical stakeholder engagement

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

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Page 1: Practical Stakeholder Engagement

Practical Stakeholder Engagement

John Sherwood

COSAC 2014

© The SABSA Institute 1995 - 2014

Page 2: Practical Stakeholder Engagement

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

Page 3: Practical Stakeholder Engagement

Action

l Appoint a scribe to capture the ideas l Can be more than one scribe

© The SABSA Institute 1995 - 2014 2

Page 4: Practical Stakeholder Engagement

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

Page 5: Practical Stakeholder Engagement

STAKEHOLDER CONTEXT Theoretical Foundations for Systems, Services and Stakeholders

© The SABSA Institute 1995 - 2014 4

Page 6: Practical Stakeholder Engagement

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

Page 7: Practical Stakeholder Engagement

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

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© 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

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© 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

Page 10: Practical Stakeholder Engagement

© 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

Page 11: Practical Stakeholder Engagement

© 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

Page 12: Practical Stakeholder Engagement

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,+Skills+and

+Com

petencies+

Supp

ort+P

rocesses+and

++Services+

Page 13: Practical Stakeholder Engagement

STAKEHOLDER ENGAGEMENT PROCESS

Step-by-Step Process

© The SABSA Institute 1995 - 2014 12

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© 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

oject+b

oard+

Archite

cture+bo

ard+

GO

VE

RN

AN

CE E

NG

AG

EM

EN

T

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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

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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

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

© The SABSA Institute 1995 - 2014 16

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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

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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

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STAKEHOLDER INTAKE Bringing the Stakeholder Community On-board

© The SABSA Institute 1995 - 2014 19

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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

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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

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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

Let’s discuss: How should we do this?

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STAKEHOLDER CONSULTATION The Real Engagement: Psychological Factors

© The SABSA Institute 1995 - 2014 23

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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

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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

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‘Them & Us’ or ‘We’ l  Social engagement – we’re 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

Page 28: Practical Stakeholder Engagement

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 you’ll 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

Page 29: Practical Stakeholder Engagement

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 it’s 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

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STAKEHOLDER ANALYSIS Analysing gathered information

© The SABSA Institute 1995 - 2014 29

Page 31: Practical Stakeholder Engagement

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 l …etc.

© The SABSA Institute 1995 - 2014 30

Page 32: Practical Stakeholder Engagement

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

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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

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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

Page 35: Practical Stakeholder Engagement

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

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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

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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 owner’s and custodian’s work products (can be R, C, I, M, Rev, V and S)

© The SABSA Institute 1995 - 2014 36

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© 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

Page 39: Practical Stakeholder Engagement

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

Page 40: Practical Stakeholder Engagement

© 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:

l Strategy l Programme l Project l Operational process

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

l Business unit l Business function l Business process

Apply RACI at every Identified Viewpoint

Page 41: Practical Stakeholder Engagement

Stakeholder Mapping: Structure

l  Documenting the stakeholder details l  Spread-sheet or database

l A 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

Page 42: Practical Stakeholder Engagement

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

Page 43: Practical Stakeholder Engagement

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

Page 44: Practical Stakeholder Engagement

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

Page 45: Practical Stakeholder Engagement

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

Page 46: Practical Stakeholder Engagement

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

Page 47: Practical Stakeholder Engagement

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