Post on 08-Apr-2015
© Centre de Recherche Public Henri Tudor 2009 1
TIPA Process Assessment and Improvement
Process Assessment and Improvement
Speaker04/11/23
Presentation Outline
<TIPA Service Provider>
Process Assessment Approach Steps Features Process Models Process Maturity Levels Assessment interview
Assessment Results
Improvement Preparation
2© Centre de Recherche Public Henri Tudor 200904/11/23
© Centre de Recherche Public Henri Tudor 2009 3
<TIPA Service Provider>
Presentation
04/11/23
Presentation of <TIPA Service Provider>
4© Centre de Recherche Public Henri Tudor 200904/11/23
© Centre de Recherche Public Henri Tudor 2009 5
Process Assessment Approach with ISO/IEC 15504
04/11/23
TIPA assessment
Phases of the Assessment project
6© Centre de Recherche Public Henri Tudor 200904/11/23
procedures
guides / instructions
Process
Input
Output
Process purpose
Process expected results
Activities
Roles and responsibilities
Control points
Process measurement
7
Process
© Centre de Recherche Public Henri Tudor 200904/11/23
8
Process Assessment Features (1/2)
A structured process assessment method supported by the ISO/IEC 15504 standard ISO standard: an international initiative of experts consensus Proven Process assessment method Objectivity and confidentiality Repeatability
Easy comparison between assessment results Clear description of the processes to be assessed : process
models PRM: Process Reference Model PAM: Process Assessment Model
The focus is on the “What”, not on the “How”
© Centre de Recherche Public Henri Tudor 200904/11/23
9
Process Assessment Features (2/2)
A structured process assessment method supported by the ISO/IEC 15504 standard Process Maturity levels Rating scale
Not / Partially / Largely / Fully Clear way of presenting results Usable for any business domains and any type of organization Compatibility with other standards
E.g. with ISO 9000
© Centre de Recherche Public Henri Tudor 200904/11/23
Process Assessment Process
10
Process Reference Model- Domain & Scope- Process Purpose- Process Expected Results
Process Reference Model- Domain & Scope- Process Purpose- Process Expected Results
Measurement Framework- Maturity Levels- Process Attributes- Rating scale
Measurement Framework- Maturity Levels- Process Attributes- Rating scale
Process Assessment Model-Scope- Indicators- Mapping- Translation
Process Assessment Model-Scope- Indicators- Mapping- Translation
ASSESSMENT PROCESSPreparationAssessment
AnalysisReportingClosure
ASSESSMENT PROCESSPreparationAssessment
AnalysisReportingClosure
Roles & Responsibilities-Sponsor- Lead assessor- Assessor(s)
Roles & Responsibilities-Sponsor- Lead assessor- Assessor(s)
Output- Date- Assessment input- Identification of evidence- Assessment process used- Process profiles- Additional information
Output- Date- Assessment input- Identification of evidence- Assessment process used- Process profiles- Additional information
Initial input- Purpose- Scope- Constraints- Identities- Approach- Assessor competence criteria- Additional information
Initial input- Purpose- Scope- Constraints- Identities- Approach- Assessor competence criteria- Additional information
04/11/23 © Centre de Recherche Public Henri Tudor 2009
11
ISO/IEC 15504 Key Elements Relationships
PROCESS
PROCESS IMPROVEMENT
CAPABILITYDETERMINATION
can lead to
leads to
identifiessuitability of
identifieschanges to
ASSESSMENT
is subject to
leads to
© Centre de Recherche Public Henri Tudor 200904/11/23
12
Assessment Uses
Two contexts of use for assessment results Process improvement (internal)
To identify strengths and weaknesses to target improvement To measure the improvement
Comparison with previous assessment results
Capability determination (internal/external) To support provider selection according to business goals and
customer requirements To analyse and control risks
© Centre de Recherche Public Henri Tudor 200904/11/23
13
Assessment for Improvement
Assessment is part of an improvement approach Assessment goals
Have a check-up Identify strengths and weaknesses of assessed processes Identify whether assessed processes achieve their expected results
Results based on a rating scale Bottom-up approach Voluntary and participative approach Initialisation of an improvement program
Audit (vs. Assessment) Audit goal: check compliance to a standard Control approach Binary results: OK or KO Top down approach
The improvement approach is based on an assessment The quality of the improvement program depends on your honesty and your
collaboration during the assessment
© Centre de Recherche Public Henri Tudor 200904/11/23
14
PRM Content PRM = Process Reference Model
Domain and scope description
For each process A Purpose
The high level objectives of performing the process
Expected results Observable and measurable results of process Necessary and sufficient to demonstrate successful achievement
of the process purpose Can be:
Artefact Significant changes of state Compliance to specified constraints, requirements
Relationships between processes
© Centre de Recherche Public Henri Tudor 200904/11/23
15
Process Reference Model:ISO20000 IT Service Management
© Centre de Recherche Public Henri Tudor 200904/11/23
16
Example of Process Description in a PRM (Incident Management)
Process purpose The purpose of Incident Management process is to restore agreed service to
the business as soon as possible or to respond to service requests.
Process expected results: As a result of successful implementation of the Incident Management process:
1. An Incident Management Strategy is defined;
2. Incidents are recorded, prioritized, classified, updated along their life cycle, resolved and closed;
3. Major incidents are identified, classified and managed in a particular way;
4. Customer is kept informed of their incidents or service request progress and, if necessary, of the service level breaches;
5. Service levels are managed by agreeing an action with the customer in cases of service level breach;
6. Service requests are handled in the same way as incidents;
SO1. Involved staff have access to relevant information;
SO2. Procedure is defined and adopted to manage incident and their business impact;
SO3. Major incidents are classified and managed according to a procedure;
© Centre de Recherche Public Henri Tudor 200904/11/23
Process Maturity Levels
17
IncompleteThe process is not implemented or fails to achieve its purpose
PerformedThe process is implemented and achieves its process purpose
ManagedThe process is managed and work products are established, controlled and maintained
EstablishedA defined process is used and based on a standard process
PredictableThe process is enacted consistently within defined limits
OptimizingThe process is continuously improved to meet relevant current and projected business goals
1 PERFORMED (Informal) 1.1 Process Performance
2 MANAGED (Planned and monitored) 2.2 Work Product Management2.1 Performance Management
3 ESTABLISHED (Well defined) 3.2 Process Deployment3.1 Process Definition
4 PREDICTABLE (Quantitatively managed)
4.2 Process Control4.1 Process Measurement
5 OPTIMIZING (Continuous Improvement)5.2 Process Optimization5.1 Process Innovation
0 INCOMPLETE
Inst
anc
e v
iew
Org
aniz
atio
n vi
ew
© Centre de Recherche Public Henri Tudor 200904/11/23
Process Maturity Levels (1/3)
Level 0 INCOMPLETE The process is not implemented, or fails to achieve its process
purpose At this level there is little or no evidence of any systematic
achievement of the process purpose
Level 1 PERFORMED The implemented process achieves its process purpose The process achieves its defined expected results Process activities are performed, but the process is not really
monitored and repeatable The results of the process often depend on “heroes” The “process performance” is assessed
18© Centre de Recherche Public Henri Tudor 200904/11/23
Process Maturity Levels (2/3)
Level 2 MANAGED The performed process is now implemented in a managed fashion:
performance of the process is planned, monitored and adjusted Its work products are appropriately established, controlled and
maintained There is no coherence checks from an organizational point of view.
Each team can achieve the expected results in a different way. The “process performance management” and the “work product
management” features are assessed
Level 3 ESTABLISHED The managed process is now implemented using a defined process
that is capable of achieving its process expected results A standard definition of the process is established Institutionalised deployment of the process: it is used and known by
everyone The “process definition” and the “process deployment” features are
assessed
19© Centre de Recherche Public Henri Tudor 200904/11/23
20
Process Maturity Levels (3/3)
Level 4 PREDICTABLE The established process now operates within defined limits to achieve
its process expected results. Measurement results are used to ensure that performance of the
process supports the achievement of relevant process performance objectives in support of defined business goals.
The process is quantitatively managed to produce a process that is stable, capable, and predictable within defined limits.
The organization is able to identify and correct the causes of the variations of the process
The “process measurement” and the “process control” features are assessed
Level 5 OPTIMIZING The predictable process is continuously improved to meet current and
projected business goals. Innovative ideas and technologies are used to improve the process
The “process innovation” and the “process optimisation” features are assessed
© Centre de Recherche Public Henri Tudor 200904/11/23
21
PAM ContentProcess Assessment Model
Application scope Description of the context of use for the process model Selection of processes from PRMs Description of relationships between processes Selection of capability levels to be assessed
Measurable components enabling process assessment Components specific to each process
Base practices, Work products Generic components : the ISO/IEC 15504 measurement
framework Process Maturity levels Process attributes Generic practices, generic work products Rating scale and system
© Centre de Recherche Public Henri Tudor 200904/11/23
22
Example of Process Description in a PAM (1/3)
(This part is copied from the PRM, see slide 16)
Process purpose The purpose of Incident Management process is to restore agreed service to
the business as soon as possible or to respond to service requests.
Process expected results:
1. An Incident Management Strategy is defined;
2. Incidents are recorded, prioritized, classified, updated along their life cycle, resolved and closed;
3. Major incidents are identified, classified and managed in a particular way;
4. Customer is kept informed of their incidents or service request progress and, if necessary, of the service level breaches;
5. Service levels are managed by agreeing an action with the customer in cases of service level breach;
6. Service requests are handled in the same way as incidents;
SO1. Involved staff have access to relevant information;
SO2. Procedure is defined and adopted to manage incident and their business impact;
SO3. Major incidents are classified and managed according to a procedure;
© Centre de Recherche Public Henri Tudor 200904/11/23
23
Example of Process Description into a PAM (2/3)
Base practices (this part is specific to the PAM) RES.1.BP1: Establish incident management strategy. Define an incident
management strategy including the scope of the incident management and the definition of a major incident. [Expected Result 1, 3]
RES.1.BP2: Detect and record the incident. (...) [Expected Result 2]
RES.1.BP3: Classify the incident. (...) [Expected Result 2, 3]
RES.1.BP4: Handle the Service Request. (...) [Expected Result 6]
RES.1.BP5: Prioritize the incident. (...) [Expected Result 2, 3]
RES.1.BP6: Escalate incident when needed. (...) [Expected Result 2]
RES.1.BP7: Implement incident resolution. (...) [Expected Result 2]
RES.1.BP8: Track and record incident progress. (...) [Expected Result 2, 3, 4]
RES.1.BP9: Communicate to customer. (...) [Expected Result 4]
RES.1.BP10: Agree an action plan when needed. (...) [Expected Result 5]
RES.1.BP11: Close the incident. (...) [Expected Result 2]
RES.1.SP1: Keep access to incident knowledge. (...) [Expected Result SO1]
RES.1.SP2: Define incident management procedures. [Expected Result SO2, SO3]
© Centre de Recherche Public Henri Tudor 200904/11/23
24
Example of Process Description in a PAM (3/3)
© Centre de Recherche Public Henri Tudor 200904/11/23
Assessment in Practice
Minimum 2 assessors
Interview key people One or two interviewees without hierarchical relationship
Process instances to be assessed
Evidences Collect documents before the assessment and give them to assessors
Process maturity determination Based on process attributes rating (Not, Partially, Largely, Fully)
In case of improvement objectives Identification of improvement opportunities: impact and importance Interviews focused on both process assessment and identification of
best practices
25© Centre de Recherche Public Henri Tudor 200904/11/23
Interview in practice
Duration depends on the number of processes to be assessed, usually about 1.5 hours per process
Presentation of the processes that will be assessed
Reminder of confidentiality rules
Handing over of documents prepared for the interview
For each process, questions about Base practices : core business Generic practices : activity planning, documents management,
process description, training…
Identification of improvement opportunities
Conclusion
Feedback form about the interview
26© Centre de Recherche Public Henri Tudor 200904/11/23
Assessment Key Success Factors
Have a clearly identified sponsor
Be aware of the strategic objective of the improvement project People are involved in the assessment to build together an effective
working environment
Be involved The improvement plan depends on the collected information All collected information is agglomerated Best practices are highlighted
Keep in mind that a process assessment is not an assessment of individual achievements
Ensure the anonymity and confidentiality of interviews
Make necessary resources and persons available
27© Centre de Recherche Public Henri Tudor 200904/11/23
© Centre de Recherche Public Henri Tudor 2009 28
Process Assessment Results
04/11/23
ISO/IEC 15504 advantages
ISO/IEC 15504 provides a general framework to assess process maturity
ISO/IEC 15504 intends to measure If the process purpose is achieved If processes are able to support the business goals, by
assessing the measure of the extent to which they are : Managed (planned, etc.) Established (used in the same way by everybody) Predictable In constant optimisation
ISO/IEC 15504 provides a roadmap to process improvement Process descriptions Generic practices, generic work products
29© Centre de Recherche Public Henri Tudor 200904/11/23
Process/Organizational Maturity
2 notions Process Maturity (capability)
Each process is observed individually
Organizational Maturity (maturity) Each process is considered Results for all processes are combined to measure/reach the
maturity for the whole organization Processes are grouped by level In order to improve, we focus first on basic processes: foundations We cover then more complex processes ISO/IEC 15504 part 7 standard is in progress
30© Centre de Recherche Public Henri Tudor 200904/11/23
Elements to measure improvement
Process maturity level Measure the level reached by the process/the organization Consolidation of the rating of sub-items
Rating scale - Measure each item with a linear percentage scale Process purpose Process expected results Typical practices Typical Documents
The scale is calibrated using four points N Not, P Partially, L Largely, F Fully
31
0% 15% 16% 50% 51% 85% 86% 100%
Not Achieved
Partially Achieved
Largely Achieved
Fully Achieved
N P L F
© Centre de Recherche Public Henri Tudor 200904/11/23
Moving up levels
32
Level 1 Level 1 Level 1 Level 1
Level 2 Level 2 Level 2
Level 3 Level 3
Level 4
Reaching Level 2
Reaching Level 3
Reaching Level 4
Reaching Level 5
Fully
Reaching Level 1
Level 3
Level 2
Level 1
Level 4
Level 5
Largely or Fully
© Centre de Recherche Public Henri Tudor 200904/11/23
Assessment Results (1/2)
33
Level 1Performed
Process Performance
Performance Management
Work Product Management
Process Definition
Process Deployment
Process Measurement
Process Control
Process Innovation
Process Optimisation
Process1 F F L P N
Process2 P N P N N
Process3 F L L L P
Process4 L P P N N
Process5 F F F L P
Legend Rates
"Fully" F Not Assessed "Largely" L
"Partially" P
"Not" N
Level 1Performed
Level 2Managed
Level 3Established
Level 4Predictable
Level 5Optimising
Process1 R R U NA NA
Process2 U U U NA NA
Process3 R R U NA NA
Process4 R U U NA NA
Process5 R R U NA NA
Legend
Level 5Optimising
Process Assessment at XXX
Level 2Managed
Level 3Established
Level 4Predictable
Process Assessment at XXX
Level reached
Level not reached
Not Assessed
© Centre de Recherche Public Henri Tudor 200904/11/23
34
Assessment Results (2/2)
Assessment report Executive summary Overall analysis For each assessed process
Process Maturity profile Strengths-Weaknesses-Opportunities-Threats analysis (SWOT) Detailed analysis of the assessment results
For improvement context Recommendations for process improvements Ideas for an improvement action plan
Presentations to the management and to the interested parties « Executive summary » Meeting to present results
© Centre de Recherche Public Henri Tudor 200904/11/23
© Centre de Recherche Public Henri Tudor 2009 35
Improvement Preparation
04/11/23
Collaborative Structuring of Improvement Actions
Propositions for improvement structured in an improvement project
Collaborative approach to prepare the improvement plan Objectives and strategy Main improvement lines Classification and prioritisation of the improvement actions Building of an improvement plan composed of improvement projects
Importance of actors involvement for change management
36© Centre de Recherche Public Henri Tudor 200904/11/23
37
Current State
Internal Communication
Standardized use of tools
Processes, activities, work-products, actors, guides, templates
Communication
Organization for Quality
Quality Control Initiatives
Risk management
Resources Estimation
Business Plan
…
Time
Process Maturity Levels
Operational improvements
Setup of the project framework
Organizational acceptance
Specific and targeted improvements
1 to 3 months
3 to 6 months
9 to 15 months
Example of Action Plan
© Centre de Recherche Public Henri Tudor 200904/11/23
38
Questions… and Answers !
Thank you for your attention
© Centre de Recherche Public Henri Tudor 200904/11/23