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ADVOCATING CHANGE11 STEPS TO A SMOOTH RIM TRANSITION

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ADVOCATING CHANGEFIRST 5 STEPS TO A SMOOTH RIM TRANSITION

p Is your organization in need of a blueprint for implementing operational changes for records management? Is your company prepared to take on the social consequences that will no doubt occur as a result of these changes? The work of Joseph M. Juran, statistician and expert in cultural change, provides a helpful outline for guiding your company through the process of executing new practices and also offers several hints as to how to address your business’s broader cultural response to these structural adjustments. The following pages will address the first five “Rules of the Road” to provide some important considerations for your plan of action.

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JOSEPH M. JURANAs you may already know, Joseph M. Juran (1904 — 2008) was a pioneer in the field of statistics.

In an era in which statistics was used mostly by college courses, gamblers, and life insurance companies, Juran and several

other “quality gurus” succeeded in exerting a huge influence on the “value recognition” and subsequent maturity of the use of

statistics for corporate success. Juran’s contributions to the

business world were invaluable. Today, no one would buy a piece

of equipment that has not been tested and confirmed

statistically to be able to repetitively perform its intended task.

Yet, beyond teaching statistics and quality processes,

Juran provided organizations with essential insight into the

implementation of business changes. His observations were

simple, yet profound. He successfully explained why many

operational changes simply fail to get under way. He likewise

noted that such changes frequently took much longer than

necessary or were often extensively revised before getting off

the ground.

Why so many road blocks to change? Juran found that, for any

operational or technological transformation, there were actually

two changes taking place — the operational or technical change

itself, and the resulting social consequence of that change.

Juran believed that companies have cultures and that,

consequently, that culture must be effectively dealt with in order to enact change. His work cited historic examples of cultures

resisting change and provided recommendations for dealing with that inevitable resistance. Juran called his set of

recommendations the “Rules of the Road.”

In today’s business world, these Rules of the Road can be easily applied to the process of implementing change in records

management strategy. If you are enthusiastically in favor of improving your company’s Records and Information Management

(RIM) program in a manner that requires company-wide adjustments, you are what Juran would call a Change Advocate. As

you move along the path to better RIM systems, you must understand that the changes you seek will have social

consequences. Once you recognize this and are ready to move on, Juran’s Rules of the Road can help you.

Juran’s first five Rules will be addressed in the following pages to help provide a basic blueprint for your plan of change. The rules are:

1. Provide participation to the recipient society

2. Avoid surprises

3. Provide enough time for the recipient society

4. Start small and keep it fluid

5. Create a favorable social climate


RULES FOR CHANGE

When it comes to implementing organizational change, the numbers are staggering: 80 percent of companies report having formal policies in place, but 64 percent report having failed to secure enterprise-wide adoption of these policies.1

Knowing this, where do you, the Change Advocate, focus your efforts in order to get the most out of your program? Creating policy is not enough. How can you assure compliance by going beyond policy to connect people to the right behaviors?

As a Change Advocate, you want to secure the sponsorship, resources, and funding needed to drive broader adoption of your program. Even if your organization does have pockets of records management systems in place here or there, you are probably struggling with consistency and enforcement across your departments and locations, leaving you insecure in your ability to face regulatory or legal scrutiny.

Part of your task as a Change Advocate is to seek to change the will of individuals across the organization. You must not only be clear about the change, but also be persuasive as to why it is good for each individual. This is different than persuading employees that change is good for the company or even that it is good for the culture of the

company. You must stress that the changes you hope to enact are important to each individual’s success — that is, you want to make each employee feel that he or she has “skin in the game” as you proceed down the road to change. Before you approach your colleagues, ask yourself: In the larger context of the company and of the culture, why are my proposed amendments good for the individual? Once you have your answer you are ready to move forward but you can still expect to meet some opposition.

Joseph Juran’s Rules of the Road were expressly designed for dealing with resistance to change. Resistance will most likely always be present, so ultimately one of your key tasks as a Change Advocate is to work at transforming the culture of the organization so that all departments and locations will be willing to accept the operational or technological change. Don’t wait for that resistance before you act. Instead, plan the implementation in such a way that it makes as little of a ripple as possible. Design a strategy upfront for enacting change in a way that eases the successful integration of your programs into the company’s culture. Think of yourself as an Olympic diver on the high dive — even though he or she does spectacular feats above the water, once they meet the resistance of the water, they enter with barely a ripple. Go for as little of a splash as possible.

1 Iron Mountain Compliance Benchmark Report: A View into Unified Records Management


RULES OF THE ROAD

reputation is now on the line. They will want to enact change because they have taken partial ownership in the change.RULE 1 PROVIDE PARTICIPATION TO

THE RECIPIENT SOCIETY. “Leave your brains at the door” and “we don’t pay you to think” were once common expressions that represented management’s perspective on worker participation in issues that pertained to their respective jobs. Today this mentality is all but unthinkable, and we frequently speak of wanting workers to “buy-in” to programs and systems. However, Juran’s first Rule of the Road goes beyond even the “buy-in” concept. His suggestion is that you ask workers to take “ownership” of impending change. You, the Change Advocate, want the recipient society to have sufficient participation. You want them to want your proposed changes to take place.

It is common for companies to have a RIM structure that includes executive sponsorship, an executive review board, a records manager, and records coordinators. Why not put that structure together upfront and begin the participation process with them? Let them “kick the tires.” Let them have their questions answered. Try your changes out on them in some form (i.e., a pilot) and be sure their recommended adjustments are included. Once these steps are taken, the change is no longer “yours” or “his” or “hers,” but “ours.” They will now have skin in the game. Their

RULE 2 AVOID SURPRISES.Part of your job as a Change Advocate is to instill confidence in your surrounding culture. You must assure your colleagues that your proposed new RIM path is stable and that it will accomplish its goal. In pursuing and implementing change you will be working with two groups: your support team and the recipients whose confidence you will need in order to proceed with your plan. Your support team will consist of individuals in leadership positions within the society, as well as some visionary (and perhaps assigned) members of the society. The support team is where your horsepower comes from — this group includes members that are responsible for the activities of the recipients. In addition, this group, as mentioned in Rule 1, will have reviewed your proposals and will have agreed that these changes should take place. They will have endorsed and assigned their credibility to you andyour plan. To disappoint them would mean compromising your end goal and your own personal status within the culture.


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But unknown factors can disrupt your path. In spite of good planning and preparation, it is likely that some “potholes” will develop on the road to successful RIM re-structuring. As soon as you see them coming, you must develop an appropriate adjustment to your plan and alert your support team. If there must be a surprise, make it as small and insignificant as possible. Never wait until a small problem becomes a large problem before seeking help.

How do you minimize surprises? Make sure the plan for change is solid — one that can be accomplished in the time allotted. You should also establish communication lines that keep your support team and recipients up-to-date. Report project statuses to the support team regularly. Include accomplishments, “to-do” lists, works in progress, and potential work issues in these reports. In addition, it’s advisable to establish a communication line for emergencies — bulletins that provide real-time identification of a “crisis” and options for resolution. These communication lines need to be established at the outset of the project.

Successful performance in avoiding surprises will bring you respect, confidence of leadership, accolades from co-workers, and the potential for achieving a level of greater responsibility within the company. Failure in this area will cause a lack of confidence and encourage second-guessing and additional oversight.

Juran called culture change for society “grand” and “majestic.” He even likened it to biological changes. Juran once said, “We have gone from the ox cart to the jet engine — that’s progress. But the stupid chick still takes 21 days to hatch.” Attempts to speed up the hatching of the chick result in dire consequences, and Juran cautioned that not allowing enough time for change may cause many problems down the road in any business situation.

A recipient society needs time to examine and understand a proposed change. They need sufficient time to ask themselves: What is the real intent of the change? What is the benefit? What is the best way to enact the change?

Is the change really worth it? What must be done in order to comply?

Once the recipient society has been given time to process the proposed transitions on an intellectual level, it needs time to actively make the change. Be sure to allow each specific department and each individual ample time to make the changes in a compliant way. There are a number of ways to allow for sufficient time when making necessary changes. Here are just a few: 1) the schedule can be established based on the greatest time needed in accordance with the department that will take the longest to enact the changes, 2) scheduling can be staggered, with compliance completion assignments that are based on the specific amount of time needed for each department, and 3) extensions can be given based on specific circumstances.

Your RIM plan is essential to the way you do business. When enacting changes to the RIM structure of your company, it’s worthwhile to:

— Leverage experts in helping you figure out where to focus your attention to drive the greatest business value throughout your RIM program.

— Have access to the proper industry tools that help change the behavior of your users to enforce your policy across your organization.

— Get guidance on how to build a compliant program while demonstrating hard cost savings.

— Partner with an industry leader in delivering the proper services to fit your unique situation.

RULE 3 PROVIDE ENOUGH TIME TO THE RECIPIENT SOCIETY.


Starting small, with a test group, a pilot, or a select group of individuals is a way for the Change Advocates and the recipient society to evaluate the actual impact of a RIM change. Such preparation minimizes the risk of a full corporate implementation catastrophe by delivering actual results of change implementation before said change is enacted across the entire organization.

Introducing changes slowly, gradually and at a measured pace shows consideration for the day-to-day work and responsibilities of the recipients, while at the same time demonstrating that the changes have value and can move the company forward. Being receptive to mid-course corrections keeps the change implementation fluid and instills added confidence in the recipient society by facilitating a smooth yet flexible transition process.

RULE 4 START SMALL AND KEEP IT FLUID.

proposed changes replace the older patterns and that individuals want to accept your new plan. There are many ways to accomplish this. Here are a few to consider as well as others you may think of developing for your own specific RIM program:

p Have the President or CEO personally provide a message identifying the value of the change to the company that gives his or her personal endorsement of the changes and thanks everyone in advance for their support and cooperation.

p Have local leadership send supportive communications and visibly participate in reviewing and monitoring the progress of the implementation.

p Establish a compliance certification process for individuals and/or departments. This enables employees to work toward a collective goal (which is a natural motivating force for many workers). It likewise provides for certainty and recognition of compliance with the added opportunity for departments and individuals to showcase their accomplishment.

p Establish a challenge or contest for individuals and/or departments to achieve specific compliances.

p Associate your change activity with other popular social movements like the “Going Green” initiative.

RULE 5 CREATE A FAVORABLE SOCIAL CLIMATE.

Creating a favorable social climate is a big part of making change appear desirable for individuals. As a Change Advocate, you must ensure the new patterns implicit in your


For further assistance in learning how to successfully implement corporate operational changes and obtain company-wide support, you may want to refer to Joseph Juran’s writing, particularly his books:

Juran on Leadership for Quality — An Executive Handbook (Copyright 1989 by Juran Institute, Inc.)

Managerial Breakthrough — The Classic Book of Improving Management Performance (Copyright 1995 by McGraw-Hill)

If you would like to expand your plan for RIM change by increasing efficiency and improving productivity and by making information readily available when needed, Iron Mountain® Records and Information Management 360°™ Solution can help. Our comprehensive RIM solutions can allow you to:

p Develop a consistent composite company-wide RIM plan that provides uniformity for meeting corporate RIM objectives while addressing specific departmental compliance needs.

p Quickly respond to customers’ document requests.

p Be confident in your ability to protect your information throughout its lifecycle.

p Leverage our paper-to-digital scanning

services and best practices to optimize your core business activities.

p Design a legally credible RIM program where your records are retained and disposed of according to policy.

p Strategize for consistent adoption across your enterprise and create a roadmap for bringing the strategy to life.

p Take advantage of our experts, who can provide the insights you’ll need to establish, manage and customize your records management program.

p Address the complexities of complying with state and federal regulations.

Please go to ironmountain.com or contact a member of our RIM team directly at 800–899–IRON (4766) to learn more.

IRON MOUNTAIN SUGGESTS


ADVOCATING CHANGE6 MORE STEPS TO A SMOOTH RIM TRANSITION

p Joseph M. Juran’s ‘Rules of the Road’ provide specific actions that can help facilitate the acceptance of change. They also help to build an operational mindset on which to base projects or other activities that require any sort of transition from long-held business traditions to newer more effective methods of production. In our most recent article, we explored Juran’s first five rules for accelerating both operational and cultural change. Here, we present the final six.

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The less “foreign” the change appears, the easier it will be to implement and to move forward. This can be done by inclusion or by extension. Records Information Management (RIM) program changes can be included in common business activities, such as multi-year business plans, internal audits, training (including annual training refreshers), and personal performance reviews.

RIM program implementations or changes can also be represented as logical extensions of what’s currently being done. In an office environment, individuals are already processing and storing records — both paper and electronic. So, even if a company lacks meaningful governance, it can be said that there has been prior activity, i.e. that the company has already been “managing” records. Who could then disagree with efforts to standardize records retention practices, facilitate access, and bolster security with reduced expense?

“I’ll give you something you want for something I want.” This exchange happens all the time in union negotiations. Juran recounted a classic example in his video series: the story of the US railroad’s transition from steam power to diesel power locomotives.

The crew for a steam locomotive always included a fireman whose job was to put coal in the boiler and monitor the steam pressure gauges. Since the diesel locomotive was powered by a diesel engine and not a steam engine, it appeared there would be no need for a fireman once the new diesels arrived on the tracks. Yet the unions maintained the fireman would still be essential to protecting public safety on a diesel locomotive. It seemed, of course, that the unions were, in actuality, trying to protect their colleagues’ jobs just as much (or even more so) than they were trying to actively actively ensuring the safety of railroad passengers. (Recall Rule 5: Establish a favorable social climate. In this case the union tied the status quo to a popular social movement: public safety.) Still, in the end, the unions got their quid pro quo

RULES OF THE ROAD CONTINUED…

RULE 6 WEAVE THE CHANGE INTO AN EXISTING, ACCEPTABLE PART OF THE CULTURAL PATTERN.

RULE 7 PROVIDE A QUID PRO QUO.


in order to move forward with the transition — a fireman on the diesel crew in exchange for universal acceptance of the new diesel locomotives and the modified work rules necessary to utilize compliance with and maintain them.

It’s rare for a quid pro quo to be of such a high-stakes magnitude. For RIM, some quid pro quos are actually consistent with improved governance. The culture may seek to have the official version of the Official Record in a place employees can easily access as a quid pro quo for giving up personal databases of record copies. Such changes should be built in to your plan in any case — that is, you should always plan to establish Official Records repositories for your company’s information. The remaining issue should then become one of timing — to establish Official Records repositories and have them up and running before requiring the elimination of personal databases.

A company culture is sure to ask questions and identify problems to be resolved. Keep a positive outlook and respond constructively to the issues that are raised. Remember that those experiencing change are commonly experiencing feelings of uncertainty (Do I need to do this? Is this really necessary? If I delay, will I get away with not participating? What exactly must I do? Am I doing it the right way?). In addition to responding with the correct information, you want to exude confidence in the task and in yourself. This will send two messages: 1) the change must be accomplished and 2) you, the Change Advocate, are capable of providing the leadership necessary to achieve said change(s).

This may come as a bit of a surprise, but, as a Change Advocate, there are actually two leadership lists with which you need to concern yourself. The first list, as you would expect, follows your company’s organization charts — those in positions of authority for the business functions of the company who are responsible for the employees assigned

to perform those activities. The second list is often overlooked, but may actually be more important. This is the list of individuals that the society has designated as its leaders — the “go to” people, the “trusted advisors,” and/or the “make sure you check with them first” people. These individuals may never function in a supervisory capacity, but the society knows them and looks to them for guidance when dealing with change. This type of leadership is often of the highest importance in areas where directors, managers, and/or supervisors have been assigned based on managerial talent rather than significant departmental job experience or in-depth knowledge of the activities of workers. Sometimes there is even a bias toward rejection of changes advocated by formal leadership because these official leaders haven’t “walked a mile” in the shoes of those whom the change will directly affect. It might be a good idea for you to make up your own “cultural leadership organization chart” where you identify those individuals across the company who have been selected by their local society to provide leadership and advice. Treat these people well and you will bias your project toward success. Get these folks on your team and you will be surprised how many good ideas can be made better and how quickly changes can be implemented.

It might be a good idea for you to make up your own “cultural leadership organization chart” where you identify those individuals across the company who have been selected by their local society to provide leadership and advice. Treat these people well and you will bias your project toward success. Get these folks on your team and you will be surprised how many good ideas can be made better and how quickly changes can be implemented.

RULE 8 RESPOND POSITIVELY.

RULE 9 WORK WITH THE RECOGNIZED LEADERSHIP OF THE CULTURE.


It is always appropriate and helpful to treat everyone with respect and dignity. First and foremost, it is the right thing to do, but secondly, such treatment will inspire compliancy and will enable you to implement change. You never know who might have the capability or opportunity to be helpful to you or to give you and your project a boost. The more an individual feels respected, valued, and involved, the more likely they are to be a willing participant and to be forthcoming in identifying opportunities for growth as well as problems that may have arisen in the process of change.

Back in the 1920s there was an experiment conducted at a Western Electric factory called the Hawthorne Works in which management tested the effect of light in the workplace on productivity. (Juran was there, working for the parent company.) The assumption was that the workers would be more productive with better lighting. What was discovered, however, was that productivity improved whether the lighting was better or worse. The findings concluded that, as the workers started feeling important and respected thanks to all of the interest shown by the study, they gave their best

effort regardless of environment. This phenomenon has since been dubbed “the Hawthorne effect.”

Do you want a worker’s best efforts? If you do, be sure to treat everyone with respect and dignity.

There are always a lot of reasons, explanations, and excuses for non-compliant situations. Stay away from the “blame game” or deep dives into “woulda, coulda, shoulda”s to the best of your ability. Focus on fixing problems, setting the path forward, and enabling all individuals and departments to become compliant. If individuals and departments are allowed to be honest about non-compliant situations without being “punished,” they will be much more open about their business situations, thereby facilitating a more rapid change in processes.

RULE 10 TREAT PEOPLE WITH DIGNITY.

RULE 11 KEEP IT CONSTRUCTIVE.


Here are two additional practices of conduct to accelerate and achieve cultural change. Out of respect to Juran, let’s call these “guiding principles” instead of “rules.”

There are some that advocate sharing information on a “need to know” basis. Our response to that is: “How does one know what someone else needs to know?” When making decisions for projects and programs, it’s most useful to explain your reasons for making said decisions to the Support Team. (As we learned for Rule 2, the Support Team is your horsepower. This group includes members that have organizational responsibility for the activities of the recipients.)

This practice of explaining decisions lets the Support Team gain confidence in your thinking process and your future decisions (even though you have yet to make them). Providing those in leadership on the project or program team with clear statements of your reasoning allows them room to align their thinking with yours and empowers them to make supporting decisions with confidence. Consequently, this reduces the number of questions that need to be brought to your attention, thereby freeing up valuable time. It’s also a helpful practice to use transparent leadership as a training tool for sub-leaders participating in the project. Offering these trainees a blueprint for how to think problems through and how to make impactful decisions prepares them for greater leadership roles in the future.

Finally, it’s always possible that reasoning may be faulty and may need subsequent adjustment. Explaining the “why” behind the decision-making process provides co-workers with the opportunity to offer alternative reasoning, which can in turn lead to a better and stronger final decision — one that may well prevent problems or issues down the road. If you have “blown it” in the past (see discussion of Rule 2), leading with transparency is a way to help restore your leadership’s confidence in you.

When given leadership responsibilities, one is always concerned about having the best available information before making a decision. This concern stems from the idea that “you can’t know what you don’t know,” and that it’s difficult (perhaps impossible?) for one individual to have a complete understanding of all of the facts, issues, and opportunities that will come into play before a specific decision is made. Therefore it’s important to establish a climate where there is a free and open exchange of ideas.

When the majority of the team have settled on a course of action, it’s still essential to listen to those who have concerns regarding the action, or who flat out disagree with it. Some might consider those who raise their voice in opposition to be “disloyal” or to be “troublemakers,” and yet the truth is they may be the team’s most valuable supporters. These people see a different part of the “elephant” and are willing to share their views to help the plan be more successful. They are placing skin in the game and staking their reputations to help get the project off the ground. Think about it: Would you want a team member to hear the plan, believe it to be flawed or expect it to fail, and then say nothing? Let your team members know that you really do want their honest opinions. Hear what they have to say — you don’t have to agree with them, you just have to listen. Gain a reputation for being approachable and open to all perspectives.

GUIDING PRINCIPLES

PRINCIPLE 1 LEAD WITH TRANSPARENCY.

PRINCIPLE 2 VALUE DISSENTING OPINIONS.


Working to change what people do and how they think is, of course, very difficult. When we, as Change Advocates, understand, as Juran taught, that each change is actually two changes — the operational or technical change, and the social consequence of that change, with the social consequence being the source of trouble — we can be driven into action to address social consequences.

By your attitude, conduct, and actions, you can create a path of minimum resistance for your chosen operational change. Where others might struggle, settle for partial success, or simply fail, you can distinguish yourself as an effective leader who works well with personnel at any level by utilizing Juran’s Rules of the Road. You can also achieve a reputation for bringing difficult projects to a successful conclusion.

Juran would cheerfully say, “Good luck!” at the close of his video sessions. Yet, fortified with Juran’s Rules of the Road, you’ve now been given something beyond luck. You are now equipped to make yourself successful in bringing change to your cultural environment.

SIGNING OFF

Where others might struggle, settle for partial success, or simply fail, you can distinguish yourself as an effective leader who works well with personnel at any level by utilizing Juran’s Rules of the Road. You can also achieve a reputation for bringing difficult projects to a successful conclusion.

GUIDING PRINCIPLES

ABOUT IRON MOUNTAINIron Mountain Incorporated (NYSE: IRM) provides information management services that help organizations lower the costs, risks, and inefficiencies of managing their physical and digital data. Founded in 1951, Iron Mountain manages billions of information assets, including backup and archival data, electronic records, document imaging, business records, secure shredding, and more, for organizations around the world. Visit the company website at www.ironmountain.com for more information.

© 2014 Iron Mountain Incorporated. All rights reserved. Iron Mountain and the design of the mountain are registered trademarks of Iron Mountain Incorporated in the U.S. and other countries. All other trademarks are the property of their respective owners.

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RULES OF THE ROAD

1. Provide participation to the receipient society.

2. Avoid surprises.

3. Provide enough time for the receipient society.

4. Start small and keep it fluid.

5. Create a favorable social climate.

6. Weave the change into an existing, acceptable part of the cultural pattern.

7. Provide a quid pro quo.

8. Respond positively.

9. Work with the recognized leadership of the culture.

10. Treat people with dignity.

11. Keep it constructive.

1. Lead with transparency.

2. Value dissenting opinions.

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