book

Process Improvement Essentials

Name: Process Improvement Essentials
Author: James R. Persse PhD
ISBN: 9780596102173

by James R. Persse PhD

September 2006

Intermediate to advanced

350 pages

11h 32m

English

O'Reilly Media, Inc.

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Dedication
Preface
The Audience for This BookProcess ManagersExecutive ManagersEveryone ElseSafari® EnabledHow to Contact UsAcknowledgments
I. Process and Process Improvement
1. Introduction
1.1. A Path of Quality1.2. The Innovation/Chaos Paradox1.3. Marshal Extra Forces If...1.3.1. Someone Somewhere Upstairs Said Do It1.3.2. You Want It Now—Tomorrow at the Latest1.3.3. You Have Bigger Fish to Fry1.3.4. It’s Just About the Money1.3.5. Your Teams Are Matrixed Away1.4. Moving Forward1.5. Summary
2. The Case for Process
2.1. An American Success Story2.2. The Conscious Organization2.2.1. The Business of Technology Is Business2.3. Some Number Stories2.3.1. Schlumberger2.3.2. Raytheon2.3.3. Tenzer-Spring Dynamics2.3.4. Behrben International2.3.5. Hughes Aircraft2.3.6. Boeing Space Transportation Systems2.3.7. Hewlett-Packard2.3.8. An SEI Study2.4. Six Common Myths2.4.1. Myth 1: Everything’s Fine2.4.2. Myth 2: What We Do Is Too Unique for Process2.4.3. Myth 3: Process Will Cramp Our Style2.4.4. Myth 4: We Can’t Afford the Overhead2.4.5. Myth 5: Process Is Heavy2.4.6. Myth 6: That’s Just Another Flavor of the Month2.5. Benefits of Process2.5.1. Operational Stability2.5.2. Cultural Identity2.5.3. Sharper Focus2.5.4. A Higher Performance Bar2.5.5. Reduced Costs2.5.6. The Project Is the Process2.5.7. Better Quality2.6. Summary
3. Establishing Your Process Program
3.1. Using IDEAL3.2. Establishing Executive Sponsorship3.2.1. The Need for Executive Sponsorship3.2.2. A Leadership Assignment3.3. Aligning with Business Objectives3.3.1. Elicit the Business Objectives of the Organization3.3.2. Map Process Goals to the Objectives3.4. Identifying Improvement Opportunities3.4.1. Capitalize on Your Strengths3.4.2. Understand What You’d Like to Do Better3.4.3. Target Opportunities with Promise3.5. Establishing the Process Team3.5.1. Team Roles3.5.2. Defining an Improvement Charter3.6. Choose Your Model (or Not)3.6.1. Study Alternatives3.6.2. Focus on Function, not Form3.6.3. Borrow at Will3.7. Developing Process Program Components3.7.1. Engage Relevant Work Groups3.7.2. Build from the Inside3.8. Training3.8.1. Formal Training and Instruction3.8.2. TBWA3.9. Program Rollout3.9.1. Identify Impacted Groups3.9.2. Identify the Support Team3.9.3. Define Program Support Materials3.9.4. Schedule the Rollout3.9.5. Establish Milestones and Target Dates3.10. Institutionalization3.10.1. The Blind Victor3.10.2. The Thankful Patron3.10.3. The Gentle Shepherd3.10.4. The Personal Trainer3.10.5. The Drill Sergeant3.10.6. The Assassin3.10.7. The Element of Change3.11. Helpful Change Agent Skills3.11.1. Professional Readiness3.11.2. Open Communications3.11.3. An Ear for Feedback3.11.4. Active Participation3.11.5. Coaching and Mentoring3.11.6. Visible Executive Interest3.11.7. Patience Not Perfection3.12. Summary
4. Sustaining Process Improvement
4.1. 1. Remember What You Do4.1.1. Focus on the Customer-Product Relationship4.1.2. Shape Your Process Program to the Voice of the Customer4.2. 2. Weld Business Success to Program Success4.3. 3. Participate4.3.1. Appear in the Valley4.3.2. Be Content with Commitment Equal to Yours4.4. 4. Training4.5. 5. Support Compliance4.5.1. The Job of Project Quality Assurance4.5.2. Provide Coaches, Not Cops4.6. 6. Active Feedback Mechanisms4.6.1. Let Them Know Who the Ears Are4.6.2. Provide a Means of Communicating4.6.3. Provide Evidence of Actions4.6.4. Seek the Wisdom of Balance4.7. 7. Promote Performance Incentives4.7.1. Link Performance Objectives to Program Components4.7.2. Tie Performance Reviews to Program Proficiency4.7.2.1. Establish formal rewards4.7.2.2. Establish informal rewards4.8. 8. Celebrate Success4.9. 9. Public Announcements4.9.1. It Makes Good Business Sense4.9.2. Shows Commitment at the Highest Level4.10. 10. Measure, Measure4.10.1. Measure to Monitor4.10.2. Measure to Know4.11. 11. Periodic Reassessment4.12. 12. Appreciate the Journey4.13. Summary
II. Three Major Process Improvement Standards
5. ISO 9001:2000
5.1. A Brief History of ISO 9001:20005.1.1. ISO 90005.1.2. ISO 9001:20005.1.2.1. 1. Understand the requirements5.1.2.2. 2. Establish processes to meet the requirements5.1.2.3. 3. Provide resources to run the processes5.1.2.4. 4. Monitor, control, and measure the processes5.1.2.5. 5. Improve continuously based on the results5.2. ISO 9001 Ownership5.3. The Structure and Design of ISO 9001:20005.3.1. Shall Statements5.3.2. Required Records5.3.3. Common Structure5.4. ISO 9000: Sections 1 Through 35.4.1. Section 1. Scope5.4.1.1. 1.1. General (documents the specification as an official standard)5.4.1.2. 1.2. Application (defines the Standard as “generic”; applicable to many industries)5.4.2. Section 2. Normative Reference (the Latest Issue of This Standard Can Be Used As a Legal Reference)5.4.3. Section 3. Terms and Conditions (Some Modification of Terms from Previous Versions)5.5. Section 4. Quality Management System5.5.1. 4.1. General5.5.2. 4.2. Documentation Requirements5.5.2.1. 4.2.1. General5.5.2.2. 4.2.2. Quality Manual5.5.2.3. 4.2.3. Control of documents5.5.2.4. 4.2.4. Control of records5.5.3. Required Records5.6. Section 5. Management Responsibility5.6.1. 5.1. Management Commitment5.6.2. 5.2. Customer Focus5.6.3. 5.3. Quality Policy5.6.4. 5.4. Planning5.6.4.1. 5.4.1. Quality objectives5.6.4.2. 5.4.2. Plan the QMS5.6.5. 5.5. Responsibility, Authority, and Communication5.6.5.1. 5.5.1. Identify stakeholders5.6.5.2. 5.5.2. Appoint management representatives5.6.5.3. 5.5.3. Establish communication channels5.6.6. 5.6. Management Review5.6.6.1. 5.6.1. General5.6.6.2. 5.6.2. Review input5.6.6.3. 5.6.3. Review output5.6.7. Required Records5.7. Section 6. Resource Management5.7.1. 6.1. Provide Resources5.7.2. 6.2. Human Resources5.7.2.1. 6.2.1. General5.7.2.2. 6.2.2. Competence, awareness, and training5.7.3. 6.3. Infrastructure5.7.4. 6.4. Work Environment5.7.5. Required Records5.8. Section 7. Product Realization5.8.1. 7.1. Planning of Product Realization5.8.1.1. Product requirements5.8.1.2. Required QMS processes5.8.1.3. Verification, validation, monitoring, and test activities5.8.1.4. Identify control records5.8.2. 7.2. Customer-Related Focus5.8.2.1. 7.2.1. Determination of requirements related to the product5.8.2.2. 7.2.2. Review the requirements related to the product5.8.2.3. 7.2.3. Customer communication5.8.3. 7.3. Design and Development5.8.3.1. 7.3.1. Design and development planning5.8.3.2. 7.3.2. Design and development inputs5.8.3.3. 7.3.3. Design and development outputs5.8.3.4. 7.3.4. Design and development review5.8.3.5. 7.3.5. Design and development verification5.8.3.6. 7.3.6. Design and development validation5.8.3.7. 7.3.7. Control of design and development changes5.8.4. 7.4. Purchasing5.8.4.1. 7.4.1. Purchasing process5.8.4.2. 7.4.2. Purchasing information5.8.4.3. 7.4.3. Verification of purchased product5.8.5. 7.5. Production and Service Provision5.8.5.1. 7.5.1. Control of product and service provision5.8.5.2. 7.5.2. Validation of processes for production and service provision5.8.5.3. 7.5.3. Identification and traceability5.8.5.4. 7.5.4. Customer property5.8.5.5. 7.5.5. Preservation of product5.8.6. 7.6. Control of Monitoring and Measuring Devices5.8.7. Required Records5.9. Section 8. Measurement, Analysis, and Improvement5.9.1. 8.1. General5.9.2. 8.2. Monitoring and Measurement5.9.2.1. 8.2.1. Customer satisfaction5.9.2.2. 8.2.2. Internal audit5.9.2.3. 8.2.3. Monitoring and measurement of processes5.9.2.4. 8.2.4. Monitoring and measurement of product5.9.3. 8.3. Control of Nonconforming Product5.9.4. 8.4. Analysis of Data5.9.5. 8.5. Improvement5.9.5.1. 8.5.1. Continual improvement5.9.5.2. 8.5.2. Corrective action5.9.5.3. 8.5.3. Preventive action5.9.6. Required Records5.10. For a Deeper Look5.11. Summary
6. The Capability Maturity Model Integration (for Development)
6.1. A Brief History of CMMI6.2. CMMI Ownership6.3. Technology Disciplines Covered Under CMMI6.4. CMMI-Dev Structure and Design6.4.1. A Goal-Oriented Design6.5. Generic Goals of CMMI6.5.1. Generic Goal 1: Achieve Specific Goals6.5.2. Generic Goal 2: Institutionalize a Managed Process6.5.3. Generic Goal 3: Institutionalize a Defined Process6.5.4. Generic Goal 4: Institutionalize a Quantitatively Managed Process6.5.5. Generic Goal 5: Institutionalize an Optimizing Process6.5.6. The Link Between Generic Goals and Process Areas6.6. The Process Areas of CMMI6.7. Project Management Process Areas6.7.1. Project Planning6.7.1.1. Three specific goals6.7.1.2. Core Project Planning actions6.7.2. Project Monitoring and Control6.7.2.1. Two specific goals6.7.2.2. Core Project Monitoring and Control actions6.7.3. Integrated Project Management6.7.3.1. Three specific goals6.7.3.2. Core Integrated Project Management actions6.7.4. Quantitative Project Management6.7.4.1. Two specific goals6.7.4.2. Core Quantitative Project Management actions6.7.5. Risk Management6.7.5.1. Three specific goals6.7.5.2. Core Risk Management actions6.7.6. Supplier Agreement Management6.7.6.1. Two specific goals6.7.6.2. Core Supplier Agreement actions6.8. Engineering Process Areas6.8.1. Requirements Management6.8.1.1. One specific goal6.8.1.2. Core Requirements Management actions6.8.2. Requirements Development6.8.2.1. Three specific goals6.8.2.2. Core Requirements Development actions6.8.3. Technical Solution6.8.3.1. Three specific goals6.8.3.2. Core Technical Solution actions6.8.4. Product Integration6.8.4.1. Three specific goals6.8.4.2. Core Product Integration actions6.8.5. Verification6.8.5.1. Three specific goals6.8.5.2. Core Verification actions6.8.6. Validation6.8.6.1. Two specific goals6.8.6.2. Core Validation actions6.9. Support Process Areas6.9.1. Configuration Management6.9.1.1. Three specific goals6.9.1.2. Core Configuration Management actions6.9.2. Process and Product Quality Assurance6.9.2.1. Two specific goals6.9.2.2. Core Process and Product Quality Assurance actions6.9.3. Measurement and Analysis6.9.3.1. Two specific goals6.9.3.2. Core Measurement and Analysis actions6.9.4. Decision Analysis and Resolution6.9.4.1. One specific goal6.9.4.2. Core Decision Analysis and Resolution actions6.9.5. Causal Analysis and Resolution6.9.5.1. Two specific goals6.9.5.2. Core Causal Analysis and Resolution actions6.10. Process Management Process Areas6.10.1. Organizational Process Focus6.10.1.1. Two specific goals6.10.1.2. Core Organizational Process Focus actions6.10.2. Organizational Process Definition6.10.2.1. Two specific goals6.10.2.2. Core Organizational Process Focus actions6.10.3. Organizational Process Performance6.10.3.1. One specific goal6.10.3.2. Core Organizational Process Performance actions6.10.4. Organizational Training6.10.4.1. Two specific goals6.10.4.2. Core Organizational Training actions6.10.5. Organizational Innovation and Deployment6.10.5.1. Two specific goals6.10.5.2. Core Organizational Innovation and Deployment actions6.11. Implementing CMMI6.11.1. The Continuous Representation6.11.1.1. Incomplete6.11.1.2. Performed6.11.1.3. Managed6.11.1.4. Defined6.11.1.5. Quantitatively Managed6.11.1.6. Optimizing6.11.2. The Staged Representation6.11.2.1. Generic goals in the Staged Representation6.11.2.2. Initial6.11.2.3. Managed6.11.2.4. Defined6.11.2.5. Quantitatively Managed6.11.2.6. Optimizing6.11.3. The “Any Way You Want” Way6.12. For a Deeper Look6.13. Summary

7. Six Sigma
7.1. A Brief History of Six Sigma7.2. Six Sigma Ownership7.3. Six Sigma Structure and Design7.3.1. The Voice of the Customer7.3.2. Why Is It Six? Why Is It Sigma?7.3.3. Forget Six. Forget Sigma.7.3.4. Six Sigma Methodologies7.4. Define7.4.1. Define the Problem7.4.2. Define the Project7.4.2.1. Define the mission statement7.4.2.2. Establish executive sponsorship7.4.2.3. Develop the project charter7.4.2.4. Define the team and resources7.4.3. Define the Goal7.4.3.1. Identify the (real) customer7.4.3.2. Define Critical-to-Quality issues7.4.3.3. Establish a definition of quality7.4.3.4. Define the strategic objective7.4.4. Define Boundary Conditions7.4.4.1. Target relevant processes7.4.4.2. Define what a defect is7.4.4.3. Establish the Data Collection Plan7.4.4.4. Establish the Data Analysis Plan7.4.5. Document the Project Plan7.4.6. Initiate the Project7.4.7. Tools for the Define Phase7.5. Measure7.5.1. Prepare to Measure7.5.1.1. Create (or reference) detailed process maps7.5.1.2. Validate the process maps7.5.1.3. Validate the measurement system7.5.1.4. Coordinate moving about the floor7.5.2. Measure7.5.3. Protect the Data7.6. Analyze7.6.1. The Statistical Route7.6.1.1. Collect the data7.6.1.2. Plot the data as a histogram7.6.1.3. Examine the shape of the data7.6.1.4. Prepare to create control charts7.6.1.5. Generate the mean7.6.1.6. Generate the grand mean7.6.1.7. Generate the range7.6.1.8. Generate the average range7.6.1.9. Establish upper and lower control limits for the mean7.6.1.10. Establish upper and lower control limits for the range7.6.1.11. Plot the X-bar control chart and range control chart7.6.1.12. Look for special-cause variation7.6.1.13. Embrace upper and lower customer specs7.6.1.14. Calculate percent nonconforming7.6.1.15. Determine process sigma7.6.2. Tools for the Analysis Phase7.7. Improve7.7.1. Assess7.7.2. Develop7.7.3. Select7.7.4. Modify7.7.5. Pilot and Verify7.7.6. “I” Is also for Implement7.7.7. Tools for the Improve Phase7.8. Control7.8.1. The Control Plan7.8.2. Control Tools7.8.2.1. Policies7.8.2.2. Standards and procedures7.8.2.3. Templates and forms7.8.2.4. Monitoring and control system protocols7.8.2.5. Performance validations7.8.3. Project Closeout7.9. The Six Sigma Team7.9.1. Six Sigma Champion7.9.2. Master Black Belt7.9.3. Black Belt7.9.4. Green Belt7.9.5. Yellow Belt7.10. For a Deeper Look7.11. Summary
8. Considerations for Adoption
8.1. 8.1.1. Application to IT8.1.2. Required Knowledge and Skills8.1.3. Adoption Depth8.1.4. Cultural Shift8.1.5. Resource Commitments8.1.6. Program Recognition8.1.7. Legislated Support8.1.8. Support Community8.1.9. The Short-Term View8.1.10. The Long-Term View8.1.11. Proven Effectiveness8.1.12. Documented ROIs8.1.13. Third-Party Recognition8.1.14. Focus on Customer Satisfaction8.1.15. Focus on Quality8.1.16. Program Documentation8.1.17. Required Actions8.1.18. Management Responsibility8.1.19. Organizational Oversight8.1.20. Continuous Improvement8.1.21. Resources8.1.22. Training8.1.23. Planning8.1.24. Requirements Management8.1.25. Configuration Management8.1.26. Design8.1.27. Verification and Inspections8.1.28. Validation8.1.29. Defect Management8.1.30. Root-Cause Analysis8.1.31. Measurement Activity8.1.32. Statistical Process Controls8.1.33. Supplier Management8.1.34. Reporting8.1.35. Auditing and Oversight8.2. Summary
Index
About the Author
Colophon
Copyright

Content preview from Process Improvement Essentials

Chapter 8. Considerations for Adoption

NOW THAT YOU HAVE TAKEN BRIEF LOOKS AT ISO 9001:2000, THE CAPABILITY MATURITY MODEL Integration, and Six Sigma, you may want to compare these three against some common considerations for adoption.

First, however, it’s important to note that these three leading standards are not really choices that are mutually exclusive; they can coexist quite well together. A large company might operate under the umbrella of ISO 9001 and have its IT shops working at CMMI Level 2 under this umbrella. And it might measure the performance of this CMMI program using Six Sigma.

On the other hand, smaller organizations (or those new to process) will probably want to make something of choice, focusing on the standard that, at least initially, appears best suited to its needs.

In this chapter, I’ll make a rough comparison between ISO, CMMI, and Six Sigma. I say rough because the three standards do not really share a common structure. And each has a focus that is, in application, somewhat different from the others. But they do have some major traits in common. Each of the three represents an approach to process improvement. Each presents a framework that can be used to structure process improvement efforts. Each has been shown to be effective for the IT industry. And each has a large base of users that constitute a substantial support community.

I’ll make the comparison two ways. First, by looking at a series of program traits you might consider when thinking about your ...

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Process Improvement Essentials

by James R. Persse PhD

Chapter 8. Considerations for Adoption

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