Vol. 2, No.2 August 1995 Why people behave the way they do A person's behavior or specific actions are determined by beliefs (what they feel certain about) and values (what they consider most important). Beliefs are formed from previous experiences and information received. For example, some individuals believe that wearing seatbelts is a good idea because they have experienced the benefits. Some believe that seatbelts are dangerous because they have heard of people trapped in their cars. Beliefs heavily influence behavior. Values are what an individual considers most important in life. Examples include: freedom, religion, partying, security, family and 2% body fat. Beliefs combined with values drive the actions of each individual. For example, an engineer might avoid a code review because he believes that he might look inadequate and values the current deadline more. To influence the behavior of an individual, first understand the values and beliefs that are causing the behavior. (Once you understand the underlying motivation for the behavior, you may not feel the need to change it!) Second, help correct any beliefs that are based upon false information. Third, help verify that the individual understands the priorities of his values and the consequences of the resulting behaviors. For example, if meeting a deadline is the highest priority value, that individual may not be aware of the resulting quality. (Based on Robbins, A., "Awaken the Giant Within," 1991, Summit Books.) --- Neil Potter Top of newsletter

Assessments, audits and certification by MARY SAKRY Industry is placing increasing emphasis on process assessments, audits and certification, often to the point of overload. So much emphasis is placed on passing the test or certification that sometimes the intent is left behind in the dust. Software organizations should care primarily about their business goal: satisfying customers. Process improvement should help achieve business goals. Why do we assess, audit and certify? There are several reasons organizations evaluate their practices. One might be to make sure that they are meeting business needs. Another could be to see if their practices meet external criteria such as FDA legal requirements. Such evaluations are often required to ensure that minimum requirements are met. Sometimes organizations seek external certification. Certification is usually awarded as a sign of adherence to some criteria or outstanding achievement. For example, a certification might be required to do business in a certain geographical location such as Europe (i.e., ISO). Process assessment There are many types of assessments. Each serves different purposes. The original intent of the Software Engineering Institute (SEI) assessment method was to provide an objective and practical methodology for assessing and improving an organization's software development process. Everyone has his or her idea of how the development process can be improved. Because of this, there can be disagreement about how to proceed. SEI assessments are unique in that they begin by establishing organization-wide agreement on the key problems. This provides the focus for the improvement program. An assessment is a collaborative self-examination with management and engineers. It provides a detailed look at the current software practices and an analysis against the Capability Maturity Model (CMM). (The CMM, when used in conjunction with an assessment, provides a good road map for long-term improvement.) The intent is to provide an honest, collaborative analysis to be used by the organization to improve. The assessment team is usually composed of external assessment leaders and internal team members. The SEI revamped its assessment method in 1994. The new method is called CBA IPI (CMM-Based Appraisal for Internal Process Improvement.) The assessment method ties the results to the CMM. This is a direct response from SEI to requests for a more audit-like evaluation against the CMM. It is also important that any assessment method used elicits non-CMM issues. Figure: Key attributes of an audit and assessment AUDIT ASSESSMENT An examination by an outsider Self examination with expert assessor For use in supplier selection or contract monitoring Used by the organization to improve itself Results show violations of standards Results are the key issues facing the organization Results known to auditor Results confidential Example: Software Capability Evaluation and ISO Audit Example: Original SEI assessment and CBA-IPI Software Capability Evaluation (SCE) The original intent of an SCE was to provide an external methodology for auditing an organization's software development process to determine if a contract should be awarded to the organization. The entire evaluation team is composed of external auditors. Often the results of the evaluation are unknown to the organization evaluated. SCE's were never intended to be the mechanism for initiating and facilitating process improvement, but sometimes the evaluators will give helpful feedback to the organization after the contract award has been made. The CMM is used during the SCE. Certification Certification implies that a certificate is awarded when some specific criteria have been met. SEI Assessments and SCEs do not provide certificates. Other evaluations do result in such awards, for example, ISO9001. Periodic checks Nothing can adequately replace a full assessment for starting process improvement or ensuring that the right issues are the focus for the process improvement effort. When organizations have been involved in process improvement for a while, they often need an intermediate indication of how they are doing, based on criteria such as the CMM. Often a combination of questionnaires and project interview sessions are used to gauge progress. Mini-assessments should be performed two or three times a year. Full assessments are done every few years. Didn't we just have an audit last week? Organizations can easily become overwhelmed with assessments, audits, and other related events. There must be ample time for improvement and for people to do their "real work." That is why we recommend assessing only every two to three years. An assessment can also evaluate how likely it will be for the organization to receive various certifications. What next? When first starting out, we have found it most effective to: 1) Assess where you are, so you know what needs to be improved, 2) plan and implement the improvement, and 3) audit only if necessary. Top of newsletter

Management commitment vital to ensure process improvement   by NEIL POTTER It is difficult for process improvement to succeed long-term without management commitment. Very few people actively seek the commitment they need. Getting management commitment requires the following steps: Determine the manager's needs Present the process improvement idea in a way that shows how the manager's needs can be met Determine and address the manager's concerns and fears about process improvement Verify that process improvement is meeting the manager's needs. Determine the manager's needs Each manager in an organization has needs to be filled. Commitment results from meeting those needs. Your focus should be to help the manager and the organization. To determine a manager's needs, arrange a meeting to understand his or her problems and goals. For example, you may start the meeting saying: "I have some ideas about process improvement, a means of continually improving the methods and results of an organization. I wonder if you could tell me your group's business goals and any specific problems that you have, to see if this idea might help?" The intent of this initial meeting is to understand the current situation, demonstrate that you understand it, establish whether there is common ground for proceeding, and if so, determine some initial ideas on how to proceed. If there is an unmet need and process improvement can help, then you have a key element for the commitment. If not, you need to keep listening, probing, and uncovering needs that may be buried. If your manager understands the concept of process improvement, but there are no needs, no goals or problems to solve, then you should mutually agree that nothing will be done. Forcing the issue would be creating a win-lose, and eventually a lose-lose situation. (It is very rare that a manager has no problems to solve.) Many engineers state that they have tried to interview their manager and the results were disappointing. In reality, most people suggest an improvement program or solution before determining the needs of the manager and organization. In this case, focus on determining the manager's needs first, and then offer a possible solution. Present the process improvement idea in a way that shows how the manager's needs can be met Now is the time to suggest your process improvement idea and ask for feedback. Focus on the aspects that will help the manager and the organization. Be open about weak areas in your proposition. A manager will most likely help you improve any weak area once you have demonstrated an understanding of the problem. Obtaining the commitment of any individual requires desire and involvement. Desire is the result of a currently unmet need. Involvement gives the recipient some control over the selection, eventual customization and use of the idea. Involvement promotes long-term adoption and ownership. Determine and address the manager's concerns and fears about process improvement During an individual's decision process, if more pain (or discomfort) is associated with a proposed change than in leaving things unchanged, the change will not take place. If sufficient pain is associated with status quo, and pleasure (or benefit) with the change, the change will occur. The manager may believe that process improvement will result in pain or loss. These areas are potential barriers that you must understand and address. Since the process improvement idea may be conceptually sound, but perceived to be painful, you must present ways to reduce the risk of pain. Options include the addition of no-go decision points and experimental improvements. If your manager feels that he or she can maintain sufficient influence, and the risk of pain can be significantly reduced, then the idea will have genuine appeal. For example, people often associate process improvement with teams of people writing procedures documents that will inhibit creativity and waste time. If this is the belief, then you will need to communicate that process improvement should consist of identifying and solving the most important problems of the organization. Process documentation is not necessarily the result. Current perceptions and fears about any proposed change should always be addressed by education. Verify that process improvement is meeting the manager's needs While implementing process improvement, you will need to communicate the results accurately and in a way that is meaningful to the manager. Don't guess how the results should be reported; ask them specifically. Getting management commitment for process improvement involves understanding and meeting the needs of management. Solving the organization's key problems is the true definition of successful process improvement. Top of newsletter

Book Corner Howard, Philip K., "The Death of Common Sense", Random House, New York, NY, 1994. "The Death of Common Sense" is not about software process improvement, yet has everything to do with process improvement. The book is full of humor and fascinating anecdotes that show how our search for the perfect legislation and attention to detail is choking us. The author begins with an incredible tale of Mother Teresa's attempt to establish a shelter for the homeless. The system made it impossible because of exorbitant renovation costs to meet building codes - including a requirement for elevator service that would never be used. Throughout the book he illustrates his points using stories about various agencies such as OSHA, the FDA, and our judicial system. His entertaining prose and liberal use of examples hammer home his point that our attempt to explicitly cover everything is making it impossible to comply with anything! This book should make you think twice about your process improvement effort and help you avoid the pitfalls of our overburdened democracy. --- Mary Sakry Top of newsletter

© 1998 The Process Group