Process Improvement Essentials. CMMI, Six Sigma, and ISO 9001

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