Summary

This chapter discusses the various plans needed to guide the process improvement effort, and a few approaches to tracking the tasks involved. While the CMMI considers process descriptions and procedures to be part of the "plan" needed for each process area, this chapter defines a plan as the strategy necessary to prepare the organization for process improvement. Processes and procedures are discussed in Chapter 16.

Defining Plans

CMMI requires a "plan" for every process area (PA). However, these plans incorporate not only what one would normally expect in a plan (activities, timeframes, general approach and strategy, estimated resource expenditures), but also what used to be called "procedures" (see Chapter 14 for a discussion of procedures). To add greater value to your Process Improvement (PI) program, we have separated these concepts. In reality, it does not matter whether you call these documents "plans," "procedures," "George," or "Shirley," as long as you generate some documentation that covers these concepts.

A plan is not a schedule. It is the documented strategy necessary to perform work. It generally includes a definition of the scope of the work, the resources needed, why the work is to be done, how the work will be tracked, how it will be reviewed, schedules, and costs. It also includes an explanation of why the work was planned the way it was, so that if errors occur or project managers change, the plan can be understood and updated to promote project continuation.

There are three types of plans in process improvement that must be addressed:

1. Process Improvement (PI) Plan: Overall Strategic Plan used for funding, resources, justifying the PI program, and defining goals.

2. Implementation/Operations Plan: Tactical Plan, or more detailed plan, that defines the effort for the entire organization into manageable tasks based on the results of the SCAMPI; also called a PI Action Plan.

3. Action Plans: Very detailed plans created by the PATs (Process Action Teams) that focus on what the PAT is supposed to do and how and when it will be done. PATs focus on one PA or one problem area noted as a weakness from the SCAMPI assessment.

A Communication Plan is also popular. We discuss that plan at the end of the section on plans.

The PI Plan

Executives need a PI Plan. Its purpose is to get executive buy-in, generate a written contract for PI, and get money allocated for PI. Sometimes, the sponsor will generate the plan, sometimes the EPG Lead will generate the plan, and sometimes the Transition Partner (outside consultant) will generate the plan. Whoever creates the plan must remember that PI must be managed like any other well-managed project: do a schedule, track against the schedule, assign staff, identify and track deliverables, etc. Process Improvement must be planned and tracked just like any other project. The PI Plan should address and schedule the following activities:

• Using a SCAMPI to baseline current processes

• Establishing the EPG and PAT structure

• Providing training in the CMMI and PAs

• Measuring progress through mini-assessments

• Designing ” Piloting ” Implementing processes

• Conducting full-blown SCAMPI for certification

The PI Plan defines the problem, the purpose of PI for this organization, and the purpose of this plan. This plan is used to sell the CMMI and process improvement to the organization ” its executives, its managers, and its lower-level staff. The PI Plan must document the benefits and costs, and define the business goals and objectives linked to business issues confronting the enterprise.

The plan also defines the scope of the work and how to manage changes to scope. It documents project resources and other support needed. Assumptions and risks are also addressed (most common ” pulling staff away from PI to do "real work," emergent work, production emergencies, etc.).

As for tracking and controlling the effort, the PI Plan documents how you will track, control, measure, and report the status of the work. In the plan, present your schedule with milestones included at the lowest level of detail that you feel you can realistically accomplish, and that you feel are necessary to track at a level that keeps the effort focused. Discuss rewards and include a "Miscellaneous" category for anything else that fits your organization, or will politically motivate individuals who might prove to be obstacles in this effort.

We do not include an example PI Plan because these plans can be very different, depending on why an organization is undertaking process improvement, the culture of the organization, and the different levels of planning required. The PI Plan is often written by a Transition Partner (outside consultant) in conjunction with the proposed PI Champion and PI Sponsor. Because budgets and schedules are a large part of this plan, financial statistics for this program can be found on the SEI (Software Engineering Institute) Web site ” www.sei.cmu.edu. Also check with the budget or financial area of the enterprise for data on past improvement, quality, and measurement programs, as well as any major expenditures forecast for upcoming projects and organizational endeavors.

Implementation/Operations Plan

The Implementation/Operations Plan comes after the shock of the baseline SCAMPI has worn off. It is now time to get real. The PI Plan is a high-level, strategic vision type of plan. It makes a case for process improvement and calculates the initial, overall budget. The Implementation/Operations Plan is more detailed. It is based on the results of the SCAMPI appraisal that documented how close an organization is to a maturity or capability level, which process areas are satisfied or not satisfied or nowhere near to being satisfied, and the weaknesses found in how the organization implements the PAs. Therefore, this plan is based much more on reality and real issues. This plan may contradict the original PI Plan. Document any deviations from the original PI Plan.

This plan discusses how to address and implement the results of the SCAMPI. Take those results, review and analyze them, and prioritize the PAs, issues, and concerns. Determine how to set up the EPG/PAT/CCB infrastructure, which individuals to assign to these activities, the training required, and an initial pilot strategy.

The PAs should be prioritized based on complexity, difficulty implementing or performing within this organization, amount of documentation needed, how close to attainment based on the SCAMPI, "bang for the buck," and where an early success might be achieved.

Format your plan based on the four phases of process improvement: Set Up, Design, Pilot, and Implementation (see Exhibit 1).

Exhibit 1: Implementation/Operations Plan Template

1.0	Set Up
	1.1	SCAMPI Results
	1.2	Areas of Focus
	1.3	EPG Structure
	1.4	Process Action Team (PAT) Structure
	1.5	Configuration Control Boards
	1.6	Quality Assurance
	1.7	Schedule
	1.8	Tools
	1.9	Risks
	1.10	Reviews and Approvals
2.0	Design Phase
	2.1	Generate PAT Charter
	2.2	Review, modify, approve charter
	2.3	Generate Action Plan
	2.4	Review, modify, approve plan
	2.5	Assign work per Action Plan
	2.6	Do the work (policies/procedures/standards)
	2.7	Develop metrics and measurement techniques
	2.8	Develop required training material
	2.9	Track status
	2.10	Review/recommend tools
	2.11	Facilitate/review/monitor work
	2.12	Update Action Plans
	2.13	Attend meetings/Support EPG
3.0	Pilot Phase
	3.1	Select pilot projects
	3.2	Document success criteria and measurement techniques
	3.3	Orient and train project members in CMMI concepts
	3.4	Orient and train members in processes and procedures
	3.5	Perform the pilots
	3.6	Monitor the pilots
	3.7	Analyze results from the pilots
	3.8	Measure success
	3.9	Provide lessons learned
	3.10	Update procedures and OSSP as needed
4.0	Implementation Phase
	4.1	Select one or more true projects
	4.2	Document success criteria and measurement techniques
	4.3	Orient and train project members in CMMI concepts
	4.4	Orient and train members in procedures
	4.5	Assist in implementation as needed
	4.6	Monitor and measure success
	4.7	Provide lessons learned
	4.8	Update procedures and OSSP as needed
	4.9	Implement across more projects as needed
	4.10	Sign off completion of PATs
5.0	Control and Monitoring

 

The last section of the Implementation Plan discusses controlling the effort. Basic tracking mechanisms should initially focus on the following areas. As learning and sophistication increase within the organization, more metrics can be added. Basic metrics to track include:

• Actual size of deliverables

• Actual effort (staff hours) expended for major activities

• Start and end dates for major activities

• Completion dates for identified milestones

• Number and type of changes to this plan

Action Plans

Action Plans (see Exhibit 2) are usually produced by the PATs assigned to address the weaknesses found during the SCAMPI. PATs are usually set up according to process areas (RM, PP, IPM). Action Plans should be based on the SCAMPI results. They also must be measurable. Tie them directly to the CMMI PAs and practices to maintain focus on the CMMI itself, and to make tracking progress easier. Where the organization decides to deviate from the CMMI, build and document a strong case for doing so. Alternative practices can be substituted for the practices, when justified appropriately and strongly. Action Plans will focus on how to generate processes and procedures, and how to introduce them into the organization once produced. Tracking and measuring the effectiveness of the Action Plans and the processes and procedures is usually a function of the EPG.

Exhibit 2: Sample Action Plan Template

EXECUTIVE OVERVIEW
1	Objective/Scope
	1.1	Problem Statement
	1.2	Vision after Success
	1.3	Goal Statement
2	Entry Criteria
	2.1	Management Sponsor(s)
3	Major Inputs
	3.1	Relevant Assessment Information (Results/Deficiencies)
	3.2	Relevant Existing Work (Projects/Tasks/Pilots/PA Improvements and Results)
4	Summary of Approach
	4.1	Steps/Tasks for PA (based on practices)
	4.2	Short- Term Scenario (Schedule for Implementation)
5	Major Outputs
6	Exit Criteria

DETAILED PLAN
7	Programmatic Issues
	7.1	Constraints/Limitations
	7.2	Assumptions/Dependencies
	7.3	Risks
	7.4	Alternatives
8	Schedule
	8.1	Steps
	8.2	Process Improvement Project (PERT/GANTT)
9	Required Resources
	9.1	People (who/how much of their time)
	9.2	Training
	9.3	Computer/Technological Resources
	9.4	Other

MANAGEMENT OF PLAN
10	Reviews
	10.1	Peer Reviews
	10.2	Management Reviews
	10.3	Other Reviews
	10.4	Measurement Criteria
11	"Roll Out"/Implementation/Training Plan

 

Communications Plans

Achieving success in process improvement programs requires more than good policies and procedures. The organization must "buy in" to the effort, and support must be maintained throughout the implementation program, especially early on when costs are highly visible but benefits are not. An effective communications plan may prove critical to PI program success. Whether your organization is small or large, whether your organization requires a formal or informal approach, you must determine a method for keeping everyone informed. A communications plan has four key objectives:

1. Achieve and maintain an enterprise awareness of the CMMI and the PI Program

2. Maintain the PI Program focus and momentum

3. Facilitate process implementation activities

4. Provide a vehicle for rewards and recognition

There are numerous target audiences in any organization. Each audience is impacted differently and may have a different role to play. Communications need to be targeted to the various audiences. In addition, communications should utilize multiple vehicles for delivering the message to facilitate reaching a broader audience. Our experience shows that things need to be communicated at least seven times and three ways before people even hear the message. Communications mechanisms used include:

• Articles in monthly newsletters

• Articles by participants from the various divisions or departments, PAT members, Transition partners , and EPG staff

• Intranet Web pages containing information on PI activities, such as workshops and pilot projects, and which may include the Process Asset Library of procedures and best practices that may be of value to personnel

• Briefing to senior management at yearly management retreats

• Presentations at "all hands" meetings