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Dos and Donts
ofProcess Improvement
Pat OToole, PACT
July, 2007
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Acknowledgments
Terms like these are often used in the followingmaterial:
CMMI Framework
IDEALSM Model
Capability Maturity Model IntegrationSM
and IDEALSM
are servicemarks of Carnegie Mellon University
CMMI is registered in the U.S. Patent & Trademark Office
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Primary Lessons Learned
Secure Senior Management Sponsorship
Treat SPI like a Project
Engage Internal Staff.
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OK, what now?
Yeah, but what do we DO?
And is there anything we should AVOID doing?
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Caveat
Weinbergs Organizational DichotomyNo two organizations are entirely the same
No two organizations are completely different
Weinbergs Law of Raspberry JamThe broader you spread it, the thinner it gets
This tutorial covers 21 specific Dos and Donts
Hope for about a 20% raspberry jam rate
The rest are intended for a friend of yours.
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Dos and Donts
Senior Management
CMMI
Process
Measurement
Behavioral Change
Reviews Q & A.
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Dos and Donts: Senior Management
Sponsorship is nice,Proactive Leadership is better!
Dont Treat the Level as the Goal
Do Establish Alignment Principle
Do Take Time Getting Faster
Dont Let the Dip Get You Down
Do Align the Reward System
Do/Dont Lead by Example
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Dont Treat the Level as the Goal - 1
What are you really trying to achieve?What is the business imperative?
How do your customers evaluate your products?
Why arent your customers THRILLED with your
products and services?
Which would be better:
Achieve Level 2, but NOT the business objectives
Achieve the business objectives, but NOT Level 2?
So whats the REAL goal?
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Dont Treat the Level as the Goal - 2
Maximize the VALUE, not the LEVEL!Problem: Focusing on the level establishes conflict
between the SPI project and the engineering project
Solution: Focusing on the business imperative
produces harmony Well, at least it reduces the conflict!
Lends credibility to the SPI program
Changes discussion from if to how.
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First Rule of Project Management:Faster, Better, Cheaper pick two
The third will be the independent variable
First rule of process improvement:Faster, Better, Cheaper
If you could improve in only 1 area, which would it be?
Which number one priority is really on top? Remember Demings constancy of purpose?
Do Establish Alignment Principle - 1
- pick ONE!
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Do Establish Alignment Principle - 2
Medtronic Example:Achieve an annual, sustainable 10% reduction in
field reported defects without degrading current levels
of cost, schedule, and functional variance
Align business, project, and SPI goals
SPI becomes Software/System Project
Improvement
Communicate this broadly
Focus with a passion!
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Do Take Time Getting Faster - 1
Recognize the tune of the ritualistic dance
Why would your customer believe 6 months when
they dont believe 8?
Do YOU believe it?Have you seen the plan?
Is it credible?
Remember: A wish is NOT a plan!
How will the troops respond to this goal?
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Do Take Time Getting Faster - 2
Despite what they SAY, most customers WANTpredictability - they want to believe
Applies equally well to:
Internal customers (Product Mgt / Marketing)
External customers
Prerequisite to getting faster:
Enhance the credibility of your current estimates!
The troops want to be believedIts a matter of professional integrity
Change the tune of the ritualistic dance
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Improving Capability
target target
targettarget
target target
Improvepredictability
Improvecontrol
Improveperformance
pro
ba
bility
pro
ba
bility
pro
ba
bi
lit
y
pro
ba
bilit
y
pro
ba
bilit
y
pro
ba
bilit
y
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Dont Let the DIP Get You Down - 1
0
20
40
60
80
100
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-6
-4
-2
0 2 4 6 8 10
12
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Time
Perfor
man
Introduction of Change
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Dont Let the DIP Get You Down - 2
Attributes that affect length/breadth of the dip:Recognition of the need to change
Organizational change culture
Cultural fit of the changes being introduced
Compelling evidence of the benefit of these changes
Size of the target audience
Perception of cumulative changes
Change saturation point of the target audienceDuration since the last change in same general area
Visibility/believability of management support for the
change.
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Dont Let the DIP Get You Down - 3
0
20
40
60
80
100
-8
-6
-4
-2
0 2 4 6 8 10
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Time
Performanc
Not all resistance is irrational!
Some changes do more harm than good
Dont confuse change or activity with progress
The REAL trick is knowing the difference!
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Do Align the Reward System - 1
What behavior do you reward today?Who received the last few achievement awards?
Why did they receive them?
Why do peopleperceive they received them?
Perception is reality to the perceiver
Are the reward system and the Alignment Principle
aligned?
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The behavior you reward is the behavior you getStop rewarding process arson and fire fighting
Start rewarding disciplined planning & execution
Not all rewards are monetaryAtta-boys
Success stories published
Executive recognition
Promotions
But moneys nice too!
Do Align the Reward System - 2
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Do/Dont Lead By Example - 1
What are YOU as senior management doing tobecome more process disciplined?
Are any of your processes documented?
Does anyone verify that you are following them?
Are you trying to improve them over time?
Are you sending the message,
Do as I say, not as I do?
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Do/Dont Lead By Example - 2
Consider documenting the OrganizationalCommitment Process first
How does your organization commit to doing work
on behalf of a customer?
Involve peers in Marketing/Product Management
Pilot the process
Have PPQA verify adherence
Demonstrate your personal commitment to processdiscipline and process improvement
Sponsorship is nice;
proactive leadership is better!
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Dos and Donts
Senior Management
CMMI
Process
Measurement
Behavioral Change
Reviews
Q & A
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Dos and Donts: CMMI
All models are wrong;some models are useful
Dont Treat the CMMI as the Bible
Do Become a Stronger Level 1
Dont Use Appraisals for Diagnosis
Dont Use the Continuous Representation
Dont Use the Staged Representation
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Dont Treat the CMMI as the Bible - 1
Does Watts really look that muchlike Moses?
The CMMI is a good book but its
not THE good book!
1000+ suggested changes submitted
Its just a model!
Goals - sound engineering/management principles
Practices - one way to accomplish the goalsSubpractices - insight into the practices.
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Dont Treat the CMMI as the Bible - 2
Dont have one policy per process area!Apply the CMMI with your brain in ON position
Consider policies for:
Project Management Stuff
Engineering Stuff
Process Stuff
Write the policy LAST
Look elsewhere for additional guidanceIEEE standards, ITIL, ISO, Baldridge
Books, periodicals, employees, Dilbert, etc.
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Do Become a Stronger Level 1 - 1
How many Process Action Team do you have?Do you have one PAT for each of the Level 2 PAs?
Is your process pain equally distributed?
Can projects absorb all of these concurrent changes?
Are you treating the projects asyour customers?
Are they actively involved in establishing SPI
requirements and priorities?
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Do Become a Stronger Level 1 - 2
Treat every level, even level 1, as a continuumImprove in a few areas to gain experience, credibility,
momentum, and process discipline
Provide one or two improvements per target audience
It's OK to improve in non-CMMI areas
Pilot changes to get it righter
Not every change is an improvement
Not every improvement will be initially embraced If you build it, they might not come!
Its the education, not the degree,
that makes you smarter.
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Do Become a Stronger Level 1 - 3
January
PM Size est. template
Build Dev Use case template
Test Test case template
Effort est. template
Use case training
Test case metrics
Cost est. template
Use case metrics
Test tool evaluation
WBS template
JAVA Standards
Test tool evaluation
Risk ID template
C++ Standards
Test tool evaluation
March
Size est. template
Guideline Use case template
Test case template
April
Size est. template
Standard Use case template
Test case template
February
Size est. template
Pilot Use case template
Test case template
Effort est. template
Use case training
Test case metrics
Effort est. template
Use case training
Test case metrics
May
Effort est. template
Use case training
Test case metrics
Cost est. template
Use case metrics
Test tool evaluation
Cost est. template
Use case metrics
Test tool evaluation
WBS template
JAVA Standards
Test tool evaluation
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Dont Use Appraisals for Diagnosis - 1
Diagnosis implies sickness/disease Nobody enjoys going to the doctor
An appraisal should be more like a health check
Many people do enjoy going to the health club Lets treat the patient like they are already healthy
Assume that the patient wants to get even healthier
Looking for ways to make the organization even better
than it already is."
Set
Context
Build
Sponsorship
Charter
Infrastructure
Characterize
Current &
Desired States
DevelopRecommendations
SetPriorities Develop
Approach
Plan
Actions
Create
Solution
Pilot/Test
Solution
RefineSolution
ImplementSolution
Analyzeand
ValidatePropose
Future
Actions
Stimulus for Change
Initiating
Diagnosing
Establishing
Acting
Learning
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Dont Use Appraisals for Diagnosis - 2
Its not about levels, its about capabilityDont confuse tactics with strategy
Alignment Principle speaks to strategy
Process improvement is nothing more than one tactical
approach to achieve strategic business objectivesWhen the map & terrain disagree, believe the terrain
Appraisal view The process documentation is the map
The process as performed is the terrain
Outsourcing view Their maturity level is the map
Their results are the terrain.
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Dont Use the Staged Representation
Staged representation
Prescribed ordering with proven results
Organizational change model
Continuous Representation
Feel the pain/fix the pain
More granular level of information
Encouragement to consider quantitative managementin any/all process areas
Dont use eitherDo use both.
Dont Use the Continuous Representation
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2
2
2
2
2
2
2
4Q06
Plan Ac
Maturity Level 2 Example
Staged a
Maturity
Level
Project M gt:
PP 2
PM C 2
SA M 2
Engineering:
R E Q M 2
Support :
C M 2P P Q A 2
M A 2
1Q 0
Plan
2
1
1
2
2
2
0
2
2
1
2
2
2
1
2Q06
Plan Ac
1/1/06
Mini
Appraisa
2
1
0
1
2
2
0
3Q 0
Plan
2
2
2
2
2
2
1
2
2
2
2
2
2
2
4Q06
Plan Ac
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Maturity Level 3 ExampleStaged at
MaturityLevel
Process Mgt
OPF 3
OPD 3
OT 3
Project Mgt
PP 2
PMC 2
SAM 2
IPM 3
RSKM 3
ISM 3
Engineering
REQM 2
RD 3
TS 3
PI 3VER 3
VAL 3
Support:
CM 2
PPQA 2
MA 2
DAR 3
1/1/06
MiniAppraisal
1
0
1
2
1
0
0
1
0
1
1
1
11
0
2
2
0
0
1Q06
Plan
1
1
1
2
1
1
0
1
0
2
2
1
11
0
2
2
0
0
2
1
1
2
2
1
0
1
0
2
2
1
11
1
2
2
1
0
2Q06
Plan Act
3Q06
Plan
2
1
1
3
2
2
0
1
0
2
2
1
11
1
2
3
2
1
2
2
2
3
2
2
1
1
1
2
2
1
11
1
2
3
2
1
4Q06
Plan Act
1Q07
Plan
2
2
2
3
3
2
1
1
1
3
2
1
22
2
3
3
2
1
3
2
2
3
3
3
1
2
2
3
3
2
22
2
3
3
2
2
2Q07
Plan Act
3Q07
Plan
3
3
3
3
3
3
2
2
2
3
3
2
23
3
3
3
3
2
3
3
3
3
3
3
3
3
3
3
3
3
33
3
3
3
3
3
4Q07
Plan Act
3
3
3
3
3
3
3
3
3
3
3
3
33
3
3
3
3
3
4Q07
Plan Act
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Dos and Donts
Senior Management
CMMI
Process
Measurement
Behavioral Change
Reviews
Q & A
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Dos and Donts: Process
Its NOT the process documentation, Stupid!
Dont Over-Engineer Processes
Dont Target Mega-Projects First
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Don't Over-Engineer Processes - 1
The "accordion effect" may be unavoidableStart with very little process documentation in place
Develop 4 big honkin binders
It becomes shelfware
Devolve RDC versions
Decomplexification.
TRY to do it right the first time
Preflight checklist
Think Thin to win!
Experienced practitioners cheat sheet
PPQA/PPQAs review checklist.
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Don't Over-Engineer Processes - 2
Process documentation vs.Procedures/work instructions vs.
Training material
Don't give Process Action Teams too much time
Parkinsons Law is sure to creep in
Have "good case examples" for guidance
Use 4 roles to develop process documentation:
Facilitator (EPG)
Content providers (process executors)
Scribe (technical writer)
Reviewers (other process executors).
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Don't Target Mega-Projects First
Many groups build the standard process toaddress their largest projects
Theory is: easier to eliminate than to add
Problem: Projects have to justify scaling down
Build a thin process layer for medium projects
Justify changes as the first 2 binder fills up
Provide ability to tailor up/down to accommodate
need for more/less complexity, coordination, control
The process should serve the projects
not vice versa!
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Dos and Donts
Senior Management
CMMI
Process
Measurement
Behavioral Change
Reviews
Q & A
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Dos and Donts: Measurement
In God we trust,all others bring data
Do Employ Basic Measures NOW!
Do Enhance Data Integrity
Do Capture Healthy Measures
Picture by Bill Riddle
(Used with permission)
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Do Employ Basic Measures NOW! - 1
You don't have a current baseline?Start now or you'll be saying the same thing in 2 years
Do you remember saying it 2 years ago?!
What to measure?Look to
The Alignment Principle
The goals of the process improvement program
Defects, effort, schedule.
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Do Employ Basic Measures NOW! - 2
There is no physics in softwareYou cant say, It cant be done
You should be able to say, We cant do it
But heres what we can do
Managements gut is bigger than yours every time!
Schwartzs Law:
Gut size and estimates are inverselyproportional.
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Do Enhance Data Integrity
Track actuals at the same level you estimateDont throw darts in the dark
Track actuals to motivate corrective action
Providers of data must be consumers of the dataWIIFM?
Adopt Gradys Rules of Data Etiquette
Private vs. public data
Dont misuse the data.
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Do Capture Healthy Measures - 1
87% of Americans who establish New Yearsresolutions have one related to
(And 72% of statistics are made up on the spot!)
There is no universally-accepted health index
But there are indicators of health Blood pressure
Weight
Body Mass Index
Time to run a mile/5K/10K/marathon
Beers per fortnight
Number of trips to the doctor Therapeutic
Preventative
Etc.
health
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Same digitalscaleSame calibrateddigitalscale
Ensure consistent weighings over the year
Same day of the week
Same time of day
Same level of clothedness
Before working out
After the purge and before the gorge
Bottom line on software measures:
Two thirds of all projects have lousy metrics;
The other half just doesnt care!
Do Capture Healthy Measures - 2
Same scale
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Dos and Donts
Senior Management
CMMI
Process
Measurement
Behavioral Change
Reviews
Q & A
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Dos and Donts: Behavioral Change
If it isnt helping the projects succeed,the EPG is failing!
Do Eliminate Low-Value-Added Tasks
Do Pilot Early and Often
Do Make Friday SPI-day
Dont Ignore the Adoption Curve
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Do Eliminate Low-Value-Add Tasks
Seek and eliminate some useless administriviaThe plate is only so big!
Do this early and make some friends
Helps avoid the "process weenie" tag.
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Do Pilot Early and Often
Dont debate issues in the ivory towerWastes a lot of time
Chances are, both sides are wrong!
Run alpha pilots to test competing theoriesSeek feedback from the process executors
Value vs. overhead/disruption
Skills and cultural fit
Toolability Tailoring suggestions
Run beta pilots to demonstrate readiness.
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Do Make Friday SPI-day
If you allocate part-time EPG/PAT members:Less than 20% is useless
Remember the Law of Raspberry Jam
The broader you spread it the thinner it gets
Don't spread it out - allocate a full day for SPI work
Friday is a lousy day - pick Wednesday instead!
Hold SPI people accountable for:
Achieving their SPI milestones and deliverables
Renegotiating their SPI commitments
Make it part of their performance review.
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Dont Ignore the Adoption Curve
You will NOT convert the unwashed massesDont waste cycles on the late majority/laggards
Target the innovators and early adopters
Prove the value and capture the early majority
Senior management must exercise tough love
Apply pressure on the late majority
Apply sanctions on the laggards
Ultimately, compliance becomes part of the
salary continuation program.
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Dos and Donts
Senior Management
CMMI
Measurement
Process
Behavioral Change
Reviews
Q & A
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Dos and Donts: Reviews
Do Implement Value-Added PPQA
Do Reinvigorate Your Peer Reviews
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Do Implement Value-Added PPQA - 1
Invest your best and brightestTrain them to serve as project coaches/mentors
Consult on the selection of process elements
Initially focus on process adoption not compliance
Assist projects in adopting the process and deriving
the intended value
Ask about the value of the process - and LISTEN!
Solicit feedback on administrivia/improvements
Are there resources/skills issues to be addressed?
Serve as the projects liaison to the EPG
Help them Obiwan, youre their only hope!
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Do Implement Value-Added PPQA - 2
The first two audits of a new process are freebiesFirst one is understanding
Second one is alignment
Third one is for real
Differentiate non-compliances by severity
Use a 4-point scale
Fully(100), largely(80), partially(40), not (0) compliant
Sets up a consulting discussion
Perform trend analysis
Identify opportunities for sampling.
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PPQA Example Trend Charts - 1
Estimat
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PPQA Example Trend Charts - 2
Estim
Si e estim
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Do Reinvigorate Your Peer Reviews
Softer, gentler approachPeer review objective: phase containment of defects
Defect implies that the author is defective
Saves and escapes
Inject defects to gauge review effectivenessInitially, dont tell em
Once youve got a baseline of performance, tell em
After improvement is noted, stop injecting defects
But dont tell em youve stopped! Hawthorne effect will sustain improved performance
Make the review team co-responsible for thequality of the work product.
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Dos and Donts
Senior Management
CMMI
Measurement
Process
Behavioral Change
Reviews
Q & A
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Questions?
Pat OTooleProcess Assessment, Consulting & Training952-432-0693
mailto:[email protected]:[email protected]