Process Improvement Essentials

Process Improvement Essentials

by James R. Persse PhD
Released September 2006
Publisher(s): O'Reilly Media, Inc.
ISBN: 9780596102173

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Book description

Today, technology has become too much a part of overall corporate success for its effectiveness to be left to chance. The stakes are too high. Fortunately, the idea of 'quality management' is being reinvigorated. In the last decade process programs have become more and more prevalent. And, out of all the available options, three have moved to the top of the chain. These three are:

  • The 9001:2000 Quality Management Standard from the International Standards Organization;
  • The Capability Maturity Model Integration from the Software Engineering Institute; and
  • Six Sigma, a methodology for improvement shaped by companies such as Motorola, Honeywell, and General Electric.

These recognized and proven quality programs are rising in popularity as more technology managers are looking for ways to help remove degrees of risk and uncertainty from their business equations, and to introduce methods of predictability that better ensure success.

Process Improvement Essentials combines the foundation needed to understand process improvement theory with the best practices to help individuals implement process improvement initiatives in their organization. The three leading programs: ISO 9001:2000, CMMI, and Six Sigma--amidst the buzz and hype--tend to get lumped together under a common label. This book delivers a combined guide to all three programs, compares their applicability, and then sets the foundation for further exploration. It's a one-stop-shop designed to give you a working orientation to what the field is all about.

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Table of contents

  1. Dedication
  2. Preface
    1. The Audience for This Book
      1. Process Managers
      2. Executive Managers
      3. Everyone Else
    2. Safari® Enabled
    3. How to Contact Us
    4. Acknowledgments
  3. I. Process and Process Improvement
    1. 1. Introduction
      1. 1.1. A Path of Quality
      2. 1.2. The Innovation/Chaos Paradox
      3. 1.3. Marshal Extra Forces If...
        1. 1.3.1. Someone Somewhere Upstairs Said Do It
        2. 1.3.2. You Want It Now—Tomorrow at the Latest
        3. 1.3.3. You Have Bigger Fish to Fry
        4. 1.3.4. It’s Just About the Money
        5. 1.3.5. Your Teams Are Matrixed Away
      4. 1.4. Moving Forward
      5. 1.5. Summary
    2. 2. The Case for Process
      1. 2.1. An American Success Story
      2. 2.2. The Conscious Organization
        1. 2.2.1. The Business of Technology Is Business
      3. 2.3. Some Number Stories
        1. 2.3.1. Schlumberger
        2. 2.3.2. Raytheon
        3. 2.3.3. Tenzer-Spring Dynamics
        4. 2.3.4. Behrben International
        5. 2.3.5. Hughes Aircraft
        6. 2.3.6. Boeing Space Transportation Systems
        7. 2.3.7. Hewlett-Packard
        8. 2.3.8. An SEI Study
      4. 2.4. Six Common Myths
        1. 2.4.1. Myth 1: Everything’s Fine
        2. 2.4.2. Myth 2: What We Do Is Too Unique for Process
        3. 2.4.3. Myth 3: Process Will Cramp Our Style
        4. 2.4.4. Myth 4: We Can’t Afford the Overhead
        5. 2.4.5. Myth 5: Process Is Heavy
        6. 2.4.6. Myth 6: That’s Just Another Flavor of the Month
      5. 2.5. Benefits of Process
        1. 2.5.1. Operational Stability
        2. 2.5.2. Cultural Identity
        3. 2.5.3. Sharper Focus
        4. 2.5.4. A Higher Performance Bar
        5. 2.5.5. Reduced Costs
        6. 2.5.6. The Project Is the Process
        7. 2.5.7. Better Quality
      6. 2.6. Summary
    3. 3. Establishing Your Process Program
      1. 3.1. Using IDEAL
      2. 3.2. Establishing Executive Sponsorship
        1. 3.2.1. The Need for Executive Sponsorship
        2. 3.2.2. A Leadership Assignment
      3. 3.3. Aligning with Business Objectives
        1. 3.3.1. Elicit the Business Objectives of the Organization
        2. 3.3.2. Map Process Goals to the Objectives
      4. 3.4. Identifying Improvement Opportunities
        1. 3.4.1. Capitalize on Your Strengths
        2. 3.4.2. Understand What You’d Like to Do Better
        3. 3.4.3. Target Opportunities with Promise
      5. 3.5. Establishing the Process Team
        1. 3.5.1. Team Roles
        2. 3.5.2. Defining an Improvement Charter
      6. 3.6. Choose Your Model (or Not)
        1. 3.6.1. Study Alternatives
        2. 3.6.2. Focus on Function, not Form
        3. 3.6.3. Borrow at Will
      7. 3.7. Developing Process Program Components
        1. 3.7.1. Engage Relevant Work Groups
        2. 3.7.2. Build from the Inside
      8. 3.8. Training
        1. 3.8.1. Formal Training and Instruction
        2. 3.8.2. TBWA
      9. 3.9. Program Rollout
        1. 3.9.1. Identify Impacted Groups
        2. 3.9.2. Identify the Support Team
        3. 3.9.3. Define Program Support Materials
        4. 3.9.4. Schedule the Rollout
        5. 3.9.5. Establish Milestones and Target Dates
      10. 3.10. Institutionalization
        1. 3.10.1. The Blind Victor
        2. 3.10.2. The Thankful Patron
        3. 3.10.3. The Gentle Shepherd
        4. 3.10.4. The Personal Trainer
        5. 3.10.5. The Drill Sergeant
        6. 3.10.6. The Assassin
        7. 3.10.7. The Element of Change
      11. 3.11. Helpful Change Agent Skills
        1. 3.11.1. Professional Readiness
        2. 3.11.2. Open Communications
        3. 3.11.3. An Ear for Feedback
        4. 3.11.4. Active Participation
        5. 3.11.5. Coaching and Mentoring
        6. 3.11.6. Visible Executive Interest
        7. 3.11.7. Patience Not Perfection
      12. 3.12. Summary
    4. 4. Sustaining Process Improvement
      1. 4.1. 1. Remember What You Do
        1. 4.1.1. Focus on the Customer-Product Relationship
        2. 4.1.2. Shape Your Process Program to the Voice of the Customer
      2. 4.2. 2. Weld Business Success to Program Success
      3. 4.3. 3. Participate
        1. 4.3.1. Appear in the Valley
        2. 4.3.2. Be Content with Commitment Equal to Yours
      4. 4.4. 4. Training
      5. 4.5. 5. Support Compliance
        1. 4.5.1. The Job of Project Quality Assurance
        2. 4.5.2. Provide Coaches, Not Cops
      6. 4.6. 6. Active Feedback Mechanisms
        1. 4.6.1. Let Them Know Who the Ears Are
        2. 4.6.2. Provide a Means of Communicating
        3. 4.6.3. Provide Evidence of Actions
        4. 4.6.4. Seek the Wisdom of Balance
      7. 4.7. 7. Promote Performance Incentives
        1. 4.7.1. Link Performance Objectives to Program Components
        2. 4.7.2. Tie Performance Reviews to Program Proficiency
          1. 4.7.2.1. Establish formal rewards
          2. 4.7.2.2. Establish informal rewards
      8. 4.8. 8. Celebrate Success
      9. 4.9. 9. Public Announcements
        1. 4.9.1. It Makes Good Business Sense
        2. 4.9.2. Shows Commitment at the Highest Level
      10. 4.10. 10. Measure, Measure
        1. 4.10.1. Measure to Monitor
        2. 4.10.2. Measure to Know
      11. 4.11. 11. Periodic Reassessment
      12. 4.12. 12. Appreciate the Journey
      13. 4.13. Summary
  4. II. Three Major Process Improvement Standards
    1. 5. ISO 9001:2000
      1. 5.1. A Brief History of ISO 9001:2000
        1. 5.1.1. ISO 9000
        2. 5.1.2. ISO 9001:2000
          1. 5.1.2.1. 1. Understand the requirements
          2. 5.1.2.2. 2. Establish processes to meet the requirements
          3. 5.1.2.3. 3. Provide resources to run the processes
          4. 5.1.2.4. 4. Monitor, control, and measure the processes
          5. 5.1.2.5. 5. Improve continuously based on the results
      2. 5.2. ISO 9001 Ownership
      3. 5.3. The Structure and Design of ISO 9001:2000
        1. 5.3.1. Shall Statements
        2. 5.3.2. Required Records
        3. 5.3.3. Common Structure
      4. 5.4. ISO 9000: Sections 1 Through 3
        1. 5.4.1. Section 1. Scope
          1. 5.4.1.1. 1.1. General (documents the specification as an official standard)
          2. 5.4.1.2. 1.2. Application (defines the Standard as “generic”; applicable to many industries)
        2. 5.4.2. Section 2. Normative Reference (the Latest Issue of This Standard Can Be Used As a Legal Reference)
        3. 5.4.3. Section 3. Terms and Conditions (Some Modification of Terms from Previous Versions)
      5. 5.5. Section 4. Quality Management System
        1. 5.5.1. 4.1. General
        2. 5.5.2. 4.2. Documentation Requirements
          1. 5.5.2.1. 4.2.1. General
          2. 5.5.2.2. 4.2.2. Quality Manual
          3. 5.5.2.3. 4.2.3. Control of documents
          4. 5.5.2.4. 4.2.4. Control of records
        3. 5.5.3. Required Records
      6. 5.6. Section 5. Management Responsibility
        1. 5.6.1. 5.1. Management Commitment
        2. 5.6.2. 5.2. Customer Focus
        3. 5.6.3. 5.3. Quality Policy
        4. 5.6.4. 5.4. Planning
          1. 5.6.4.1. 5.4.1. Quality objectives
          2. 5.6.4.2. 5.4.2. Plan the QMS
        5. 5.6.5. 5.5. Responsibility, Authority, and Communication
          1. 5.6.5.1. 5.5.1. Identify stakeholders
          2. 5.6.5.2. 5.5.2. Appoint management representatives
          3. 5.6.5.3. 5.5.3. Establish communication channels
        6. 5.6.6. 5.6. Management Review
          1. 5.6.6.1. 5.6.1. General
          2. 5.6.6.2. 5.6.2. Review input
          3. 5.6.6.3. 5.6.3. Review output
        7. 5.6.7. Required Records
      7. 5.7. Section 6. Resource Management
        1. 5.7.1. 6.1. Provide Resources
        2. 5.7.2. 6.2. Human Resources
          1. 5.7.2.1. 6.2.1. General
          2. 5.7.2.2. 6.2.2. Competence, awareness, and training
        3. 5.7.3. 6.3. Infrastructure
        4. 5.7.4. 6.4. Work Environment
        5. 5.7.5. Required Records
      8. 5.8. Section 7. Product Realization
        1. 5.8.1. 7.1. Planning of Product Realization
          1. 5.8.1.1. Product requirements
          2. 5.8.1.2. Required QMS processes
          3. 5.8.1.3. Verification, validation, monitoring, and test activities
          4. 5.8.1.4. Identify control records
        2. 5.8.2. 7.2. Customer-Related Focus
          1. 5.8.2.1. 7.2.1. Determination of requirements related to the product
          2. 5.8.2.2. 7.2.2. Review the requirements related to the product
          3. 5.8.2.3. 7.2.3. Customer communication
        3. 5.8.3. 7.3. Design and Development
          1. 5.8.3.1. 7.3.1. Design and development planning
          2. 5.8.3.2. 7.3.2. Design and development inputs
          3. 5.8.3.3. 7.3.3. Design and development outputs
          4. 5.8.3.4. 7.3.4. Design and development review
          5. 5.8.3.5. 7.3.5. Design and development verification
          6. 5.8.3.6. 7.3.6. Design and development validation
          7. 5.8.3.7. 7.3.7. Control of design and development changes
        4. 5.8.4. 7.4. Purchasing
          1. 5.8.4.1. 7.4.1. Purchasing process
          2. 5.8.4.2. 7.4.2. Purchasing information
          3. 5.8.4.3. 7.4.3. Verification of purchased product
        5. 5.8.5. 7.5. Production and Service Provision
          1. 5.8.5.1. 7.5.1. Control of product and service provision
          2. 5.8.5.2. 7.5.2. Validation of processes for production and service provision
          3. 5.8.5.3. 7.5.3. Identification and traceability
          4. 5.8.5.4. 7.5.4. Customer property
          5. 5.8.5.5. 7.5.5. Preservation of product
        6. 5.8.6. 7.6. Control of Monitoring and Measuring Devices
        7. 5.8.7. Required Records
      9. 5.9. Section 8. Measurement, Analysis, and Improvement
        1. 5.9.1. 8.1. General
        2. 5.9.2. 8.2. Monitoring and Measurement
          1. 5.9.2.1. 8.2.1. Customer satisfaction
          2. 5.9.2.2. 8.2.2. Internal audit
          3. 5.9.2.3. 8.2.3. Monitoring and measurement of processes
          4. 5.9.2.4. 8.2.4. Monitoring and measurement of product
        3. 5.9.3. 8.3. Control of Nonconforming Product
        4. 5.9.4. 8.4. Analysis of Data
        5. 5.9.5. 8.5. Improvement
          1. 5.9.5.1. 8.5.1. Continual improvement
          2. 5.9.5.2. 8.5.2. Corrective action
          3. 5.9.5.3. 8.5.3. Preventive action
        6. 5.9.6. Required Records
      10. 5.10. For a Deeper Look
      11. 5.11. Summary
    2. 6. The Capability Maturity Model Integration (for Development)
      1. 6.1. A Brief History of CMMI
      2. 6.2. CMMI Ownership
      3. 6.3. Technology Disciplines Covered Under CMMI
      4. 6.4. CMMI-Dev Structure and Design
        1. 6.4.1. A Goal-Oriented Design
      5. 6.5. Generic Goals of CMMI
        1. 6.5.1. Generic Goal 1: Achieve Specific Goals
        2. 6.5.2. Generic Goal 2: Institutionalize a Managed Process
        3. 6.5.3. Generic Goal 3: Institutionalize a Defined Process
        4. 6.5.4. Generic Goal 4: Institutionalize a Quantitatively Managed Process
        5. 6.5.5. Generic Goal 5: Institutionalize an Optimizing Process
        6. 6.5.6. The Link Between Generic Goals and Process Areas
      6. 6.6. The Process Areas of CMMI
      7. 6.7. Project Management Process Areas
        1. 6.7.1. Project Planning
          1. 6.7.1.1. Three specific goals
          2. 6.7.1.2. Core Project Planning actions
        2. 6.7.2. Project Monitoring and Control
          1. 6.7.2.1. Two specific goals
          2. 6.7.2.2. Core Project Monitoring and Control actions
        3. 6.7.3. Integrated Project Management
          1. 6.7.3.1. Three specific goals
          2. 6.7.3.2. Core Integrated Project Management actions
        4. 6.7.4. Quantitative Project Management
          1. 6.7.4.1. Two specific goals
          2. 6.7.4.2. Core Quantitative Project Management actions
        5. 6.7.5. Risk Management
          1. 6.7.5.1. Three specific goals
          2. 6.7.5.2. Core Risk Management actions
        6. 6.7.6. Supplier Agreement Management
          1. 6.7.6.1. Two specific goals
          2. 6.7.6.2. Core Supplier Agreement actions
      8. 6.8. Engineering Process Areas
        1. 6.8.1. Requirements Management
          1. 6.8.1.1. One specific goal
          2. 6.8.1.2. Core Requirements Management actions
        2. 6.8.2. Requirements Development
          1. 6.8.2.1. Three specific goals
          2. 6.8.2.2. Core Requirements Development actions
        3. 6.8.3. Technical Solution
          1. 6.8.3.1. Three specific goals
          2. 6.8.3.2. Core Technical Solution actions
        4. 6.8.4. Product Integration
          1. 6.8.4.1. Three specific goals
          2. 6.8.4.2. Core Product Integration actions
        5. 6.8.5. Verification
          1. 6.8.5.1. Three specific goals
          2. 6.8.5.2. Core Verification actions
        6. 6.8.6. Validation
          1. 6.8.6.1. Two specific goals
          2. 6.8.6.2. Core Validation actions
      9. 6.9. Support Process Areas
        1. 6.9.1. Configuration Management
          1. 6.9.1.1. Three specific goals
          2. 6.9.1.2. Core Configuration Management actions
        2. 6.9.2. Process and Product Quality Assurance
          1. 6.9.2.1. Two specific goals
          2. 6.9.2.2. Core Process and Product Quality Assurance actions
        3. 6.9.3. Measurement and Analysis
          1. 6.9.3.1. Two specific goals
          2. 6.9.3.2. Core Measurement and Analysis actions
        4. 6.9.4. Decision Analysis and Resolution
          1. 6.9.4.1. One specific goal
          2. 6.9.4.2. Core Decision Analysis and Resolution actions
        5. 6.9.5. Causal Analysis and Resolution
          1. 6.9.5.1. Two specific goals
          2. 6.9.5.2. Core Causal Analysis and Resolution actions
      10. 6.10. Process Management Process Areas
        1. 6.10.1. Organizational Process Focus
          1. 6.10.1.1. Two specific goals
          2. 6.10.1.2. Core Organizational Process Focus actions
        2. 6.10.2. Organizational Process Definition
          1. 6.10.2.1. Two specific goals
          2. 6.10.2.2. Core Organizational Process Focus actions
        3. 6.10.3. Organizational Process Performance
          1. 6.10.3.1. One specific goal
          2. 6.10.3.2. Core Organizational Process Performance actions
        4. 6.10.4. Organizational Training
          1. 6.10.4.1. Two specific goals
          2. 6.10.4.2. Core Organizational Training actions
        5. 6.10.5. Organizational Innovation and Deployment
          1. 6.10.5.1. Two specific goals
          2. 6.10.5.2. Core Organizational Innovation and Deployment actions
      11. 6.11. Implementing CMMI
        1. 6.11.1. The Continuous Representation
          1. 6.11.1.1. Incomplete
          2. 6.11.1.2. Performed
          3. 6.11.1.3. Managed
          4. 6.11.1.4. Defined
          5. 6.11.1.5. Quantitatively Managed
          6. 6.11.1.6. Optimizing
        2. 6.11.2. The Staged Representation
          1. 6.11.2.1. Generic goals in the Staged Representation
          2. 6.11.2.2. Initial
          3. 6.11.2.3. Managed
          4. 6.11.2.4. Defined
          5. 6.11.2.5. Quantitatively Managed
          6. 6.11.2.6. Optimizing
        3. 6.11.3. The “Any Way You Want” Way
      12. 6.12. For a Deeper Look
      13. 6.13. Summary
    3. 7. Six Sigma
      1. 7.1. A Brief History of Six Sigma
      2. 7.2. Six Sigma Ownership
      3. 7.3. Six Sigma Structure and Design
        1. 7.3.1. The Voice of the Customer
        2. 7.3.2. Why Is It Six? Why Is It Sigma?
        3. 7.3.3. Forget Six. Forget Sigma.
        4. 7.3.4. Six Sigma Methodologies
      4. 7.4. Define
        1. 7.4.1. Define the Problem
        2. 7.4.2. Define the Project
          1. 7.4.2.1. Define the mission statement
          2. 7.4.2.2. Establish executive sponsorship
          3. 7.4.2.3. Develop the project charter
          4. 7.4.2.4. Define the team and resources
        3. 7.4.3. Define the Goal
          1. 7.4.3.1. Identify the (real) customer
          2. 7.4.3.2. Define Critical-to-Quality issues
          3. 7.4.3.3. Establish a definition of quality
          4. 7.4.3.4. Define the strategic objective
        4. 7.4.4. Define Boundary Conditions
          1. 7.4.4.1. Target relevant processes
          2. 7.4.4.2. Define what a defect is
          3. 7.4.4.3. Establish the Data Collection Plan
          4. 7.4.4.4. Establish the Data Analysis Plan
        5. 7.4.5. Document the Project Plan
        6. 7.4.6. Initiate the Project
        7. 7.4.7. Tools for the Define Phase
      5. 7.5. Measure
        1. 7.5.1. Prepare to Measure
          1. 7.5.1.1. Create (or reference) detailed process maps
          2. 7.5.1.2. Validate the process maps
          3. 7.5.1.3. Validate the measurement system
          4. 7.5.1.4. Coordinate moving about the floor
        2. 7.5.2. Measure
        3. 7.5.3. Protect the Data
      6. 7.6. Analyze
        1. 7.6.1. The Statistical Route
          1. 7.6.1.1. Collect the data
          2. 7.6.1.2. Plot the data as a histogram
          3. 7.6.1.3. Examine the shape of the data
          4. 7.6.1.4. Prepare to create control charts
          5. 7.6.1.5. Generate the mean
          6. 7.6.1.6. Generate the grand mean
          7. 7.6.1.7. Generate the range
          8. 7.6.1.8. Generate the average range
          9. 7.6.1.9. Establish upper and lower control limits for the mean
          10. 7.6.1.10. Establish upper and lower control limits for the range
          11. 7.6.1.11. Plot the X-bar control chart and range control chart
          12. 7.6.1.12. Look for special-cause variation
          13. 7.6.1.13. Embrace upper and lower customer specs
          14. 7.6.1.14. Calculate percent nonconforming
          15. 7.6.1.15. Determine process sigma
        2. 7.6.2. Tools for the Analysis Phase
      7. 7.7. Improve
        1. 7.7.1. Assess
        2. 7.7.2. Develop
        3. 7.7.3. Select
        4. 7.7.4. Modify
        5. 7.7.5. Pilot and Verify
        6. 7.7.6. “I” Is also for Implement
        7. 7.7.7. Tools for the Improve Phase
      8. 7.8. Control
        1. 7.8.1. The Control Plan
        2. 7.8.2. Control Tools
          1. 7.8.2.1. Policies
          2. 7.8.2.2. Standards and procedures
          3. 7.8.2.3. Templates and forms
          4. 7.8.2.4. Monitoring and control system protocols
          5. 7.8.2.5. Performance validations
        3. 7.8.3. Project Closeout
      9. 7.9. The Six Sigma Team
        1. 7.9.1. Six Sigma Champion
        2. 7.9.2. Master Black Belt
        3. 7.9.3. Black Belt
        4. 7.9.4. Green Belt
        5. 7.9.5. Yellow Belt
      10. 7.10. For a Deeper Look
      11. 7.11. Summary
    4. 8. Considerations for Adoption
      1. 8.1.  
        1. 8.1.1. Application to IT
        2. 8.1.2. Required Knowledge and Skills
        3. 8.1.3. Adoption Depth
        4. 8.1.4. Cultural Shift
        5. 8.1.5. Resource Commitments
        6. 8.1.6. Program Recognition
        7. 8.1.7. Legislated Support
        8. 8.1.8. Support Community
        9. 8.1.9. The Short-Term View
        10. 8.1.10. The Long-Term View
        11. 8.1.11. Proven Effectiveness
        12. 8.1.12. Documented ROIs
        13. 8.1.13. Third-Party Recognition
        14. 8.1.14. Focus on Customer Satisfaction
        15. 8.1.15. Focus on Quality
        16. 8.1.16. Program Documentation
        17. 8.1.17. Required Actions
        18. 8.1.18. Management Responsibility
        19. 8.1.19. Organizational Oversight
        20. 8.1.20. Continuous Improvement
        21. 8.1.21. Resources
        22. 8.1.22. Training
        23. 8.1.23. Planning
        24. 8.1.24. Requirements Management
        25. 8.1.25. Configuration Management
        26. 8.1.26. Design
        27. 8.1.27. Verification and Inspections
        28. 8.1.28. Validation
        29. 8.1.29. Defect Management
        30. 8.1.30. Root-Cause Analysis
        31. 8.1.31. Measurement Activity
        32. 8.1.32. Statistical Process Controls
        33. 8.1.33. Supplier Management
        34. 8.1.34. Reporting
        35. 8.1.35. Auditing and Oversight
      2. 8.2. Summary
  5. Index
  6. About the Author
  7. Colophon
  8. Copyright

Product information

  • Title: Process Improvement Essentials
  • Author(s): James R. Persse PhD
  • Release date: September 2006
  • Publisher(s): O'Reilly Media, Inc.
  • ISBN: 9780596102173