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IT Processes & Systems

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IT Processes & Systems

  1. 1. IT Processes & Systems Applying DMAIC Process for IT (Hardware & Software) Initiatives Anand Subramaniam
  2. 2. <ul><li>“ Authority without wisdom is like a heavy axe without an edge, fitter to bruise than to polish.” </li></ul><ul><ul><li>- Anne Bradstreet </li></ul></ul>
  3. 3. Highlights <ul><li>Define Process </li></ul><ul><li>Measure Process </li></ul><ul><li>Analyse Process </li></ul><ul><li>Improve Process </li></ul><ul><li>Control Process </li></ul>
  4. 4. Overview
  5. 5. <ul><li>“ Do not fear mistakes. You will know failure. Continue to reach out.” </li></ul><ul><ul><li>- Robert Galvin </li></ul></ul>
  6. 6. DMAIC Cycle for IT Initiative Define § What is the business case for the project? § Identify the customer § Current state map § Future state map § What is the scope of the project? § Deliverables § Due date Control § During the project, how will I control risk, quality, cost, schedule, scope and changes to the plan? § What types of progress reports should I create? § How will I assure that the business goals of the project were accomplished? § How will I keep the gains made? Measure § What are the key metrics for this business process? § Are metrics valid and reliable? § Do we have adequate data on this process? § How will I measure progress? § How will I measure project success? Analyse § Current state analysis § Is the current state as good as the process can do? § Who will help make the changes? § Resource requirements § What could cause this change effort to fail? § What major obstacles do I face in completing the proejct? Improve § What is the work breakdown structure? § What specific activities are necessary to meet the project goals? § How will I re-integrate the various subprojects? Next Project
  7. 7. DMAIC Road Map for IT Initiatives <ul><li>Measure the business p rocess performance </li></ul><ul><li>What are the key metrics for this business process? </li></ul><ul><li>Are metrics valid and reliable? </li></ul><ul><li>Do we have adequate data on this process? </li></ul><ul><li>How will I measure progress? </li></ul><ul><li>How will I measure project success? </li></ul><ul><li>Determine root causes/opportunities </li></ul><ul><li>Current state analysis / Cost benefit a nalysis </li></ul><ul><li>Who will help make changes? </li></ul><ul><li>Resource requirements </li></ul><ul><li>What could cause this change effort to fail? </li></ul><ul><li>What major obstacles do I face in completing this project? </li></ul><ul><li>Define our customer, CTQ’s and core b usiness processes </li></ul><ul><li>What is the Business c ase for the Project? </li></ul><ul><li>Identify The Customer </li></ul><ul><li>Current state map </li></ul><ul><li>Future s tate map </li></ul><ul><li>Recommendations & benefits </li></ul>Define Measure <ul><li>Implement s olutions </li></ul><ul><li>Generate, design and implement improvements to improve productivity and service levels </li></ul><ul><li>R e-integrate the various sub - projects? </li></ul><ul><li>Reinvest/ o r k eep the saves made </li></ul><ul><li>Institutionalise improvement & implement ongoing monitoring </li></ul><ul><li>Control risk, quality, cost, schedule, scope, and changes to the plan </li></ul><ul><li>Monitor and report services </li></ul><ul><li>Monitor availability against SLA’s </li></ul><ul><li>Monitor Security. </li></ul>Analyse Imp rove Control
  8. 8. DMAIC – IT Improvement Focus Define Focus What is the problem? Measure Focus What are we doing, and how well are we doing it? Analyse Focus What is the root cause? Improve Focus Get from the problem statement to the goal statement Control Focus Sustain the gain
  9. 9. DMAIC Tools – IT Cost Savings <ul><li>D </li></ul><ul><li>Define improvement goals </li></ul><ul><li>Tools used </li></ul><ul><li>Pareto charts </li></ul><ul><li>Bar Graphs </li></ul><ul><li>Pie Charts </li></ul><ul><li>M </li></ul><ul><li>Measure current performance </li></ul><ul><li>Tools Used </li></ul><ul><li>MSA </li></ul><ul><li>Box Plots </li></ul><ul><li>Dot Plots </li></ul><ul><li>Histograms </li></ul><ul><li>A </li></ul><ul><li>Analyse the system to determine ways to improve it </li></ul><ul><li>Tools Used </li></ul><ul><li>Regression </li></ul><ul><li>Correlation </li></ul><ul><li>Hypothesis testing </li></ul><ul><li>I </li></ul><ul><li>I mprove </li></ul><ul><li>the system –remove variation and non value added criteria </li></ul><ul><li>Tools Used </li></ul><ul><li>-DoE </li></ul><ul><li>ANOVA </li></ul><ul><li>Surface Response Testing </li></ul><ul><li>C </li></ul><ul><li>Control </li></ul><ul><li>the system so problems don’t recur </li></ul><ul><li>Tools used </li></ul><ul><li>Poka Yoka </li></ul><ul><li>Flagging </li></ul><ul><li>Control Charts </li></ul>DMAIC provides structure and rigor to problem solving
  10. 10. Define - Process (Deliverables & Activities)
  11. 11. <ul><li>“ Pick battles big enough to matter, small enough to win.” </li></ul><ul><ul><li>- Jonathan Kozel </li></ul></ul>
  12. 12. Define <ul><li>To articulate the IT problem or process needing improvement, to understand the customer impact, and to determine the scope of IT processes and systems to improve. </li></ul>
  13. 13. Problem / Opportunity Analysis <ul><li>Review the firm's strategic and operational goals / objectives </li></ul><ul><li>Identify the problem or opportunity and get situational background </li></ul><ul><li>Determine how the IT project fits with the firm’s strategy and / or operations </li></ul>
  14. 14. Stakeholder Analysis <ul><li>Identify key stakeholders (customers, managers, users) </li></ul><ul><li>Identify stakeholder Roles and Responsibilities along with Time Allocations to the IT project </li></ul><ul><li>Confirm that the IT project is a worthwhile improvement priority and determine who is in support and who are NOT </li></ul><ul><li>Obtain written Sponsor and Stakeholder Support </li></ul>
  15. 15. Project Definition (Preliminary) <ul><li>Determine the IT project purpose, team objectives, risks, assumptions and constraints </li></ul><ul><li>Goal statement, including the intended improvement and how it is to be measured </li></ul><ul><li>Define Criteria for Success of the overall initiative </li></ul><ul><li>Define IT project scope and subsequent phases </li></ul><ul><li>Write a short business case explaining the potential impact of the IT project and its impact on the customers </li></ul>
  16. 16. Project Schedule (Preliminary) <ul><li>Identify value-add activities and show the critical path with dependencies between activities </li></ul><ul><li>Identify milestones for the IT project, and allocate resources to develop an initial timeline </li></ul><ul><li>Initiate a weekly status with Management Control Process </li></ul>
  17. 17. Using SIPOC for “As-Is” <ul><li>Review existing documentation </li></ul><ul><li>Select areas or aspects of concern, and list involved processes </li></ul><ul><li>Identify inputs & outputs for key processes </li></ul>
  18. 18. Deficiency List (Preliminary) <ul><li>List and describe current and anticipated Points of Pain </li></ul><ul><li>Identify symptoms of current and anticipated problems / deficiencies </li></ul>
  19. 19. “ As-Is” Process Map - (High-Level) <ul><li>Facilitate the creation of a process map for areas or aspects of concern </li></ul><ul><li>Define process boundaries </li></ul>
  20. 20. VOC (Voice of the Customer) <ul><li>Conduct interviews with stakeholders such as customers, users and / or managers </li></ul><ul><li>Create a list of what is important to the customers, users and / or managers </li></ul>
  21. 21. CTQ (Critical-to-Quality) <ul><li>Identify processes crucial for success per the customer viewpoint </li></ul><ul><li>Develop a list of critical items from the customer / user / manager perspective </li></ul><ul><li>Translate CTQs into High-Level Functional Requirements </li></ul>
  22. 22. “ As-Is” Process Map - (Detailed) <ul><li>Create detailed process map for all impacted areas </li></ul><ul><li>Use call-outs to highlight issues to discuss </li></ul>
  23. 23. Measure - Process (Deliverables & Activities)
  24. 24. <ul><li>“ Act quickly, think slowly.” </li></ul><ul><ul><li>- Greek Proverb </li></ul></ul>
  25. 25. Measure <ul><li>To gather relevant information and measure the effectiveness and / or efficiency of the current IT processes, inclusive of relevant information systems in place. </li></ul>
  26. 26. Metric Assessment Tree <ul><li>Determine what should be learned about the IT problem or opportunity </li></ul><ul><li>Discern independent factors versus dependent factors </li></ul><ul><li>Identify type of metrics that will be relevant and useful </li></ul>
  27. 27. Data Collection Plan <ul><li>Identify sources of relevant data and process insight </li></ul><ul><li>Describe the existence of data </li></ul><ul><li>Establish unambiguous operational definitions of metric items </li></ul><ul><li>Determine methods to do the measuring </li></ul><ul><li>Develop Data Collection Forms or Checklists to support the data gathering process </li></ul>
  28. 28. “ As-Is” - Metrics <ul><li>Measure IT process performance </li></ul><ul><li>Gather data for IT process metrics </li></ul><ul><li>Gather data for metrics of inputs & outputs </li></ul>
  29. 29. “ As-Is” – Process Measurement <ul><li>Select CTQ characteristics </li></ul><ul><li>Identify patterns in data and other relevant information gathered </li></ul><ul><li>Measure the efficiency and / or effectiveness of the “As-Is” process </li></ul><ul><li>Gather data relevant to a current Process Sigma Calculation </li></ul><ul><li>Calculate process sigma for the “As-Is” </li></ul>
  30. 30. Capability Profile <ul><li>Gather data supporting VOC findings </li></ul><ul><li>Describe the relevant characteristics of the firm, people, process, & technology within the defined scope </li></ul><ul><li>Describe the characteristics of information technology using Due Diligence Worksheet which includes project management, skillsets per the Skillset Inventory , applications, data, lifecycle, operations, support, infrastructure, facilities & structure </li></ul><ul><li>Identify constraints of the “As-Is” environment </li></ul>
  31. 31. Deficiency List - (Detailed) <ul><li>Define IT performance standards for the “As-Is” process or system </li></ul><ul><li>Compare actual performance levels to current firm’s standards </li></ul><ul><li>Incorporate additional Points-of-Pain and symptoms gathered </li></ul>
  32. 32. Project Definition - (Detailed) <ul><li>Adjust, refine, and / or add further detail to the Project Definition </li></ul><ul><li>Clarify project purpose and make scope adjustments </li></ul>
  33. 33. Analyse - Process (Deliverables & Activities)
  34. 34. <ul><li>“ The truth of the matter is that you always know the right thing to do. The hard part is doing it.” </li></ul><ul><ul><li>- Norman Schwarzkopf </li></ul></ul>
  35. 35. Analyse <ul><li>To review and assess the data gathered so that the root causes can be determined and to develop strategies for solving the problem or improving the IT process. </li></ul>
  36. 36. Root Cause Analysis <ul><li>Identify potential bottlenecks, disconnects, and / or redundancies in the “As-Is” processes </li></ul><ul><li>Review the value-add versus non-value-add steps </li></ul><ul><li>Review the data in detail to determine how inefficient or ineffective the process may be </li></ul><ul><li>Review the data to pinpoint the problem areas or occurrences </li></ul><ul><li>Develop a Root-Cause Hypothesis </li></ul><ul><li>Screen and organise potential causes and candidate “vital few” Causes </li></ul>
  37. 37. Failure Modes Effect Analysis (FMEA) <ul><li>Confirm the root cause conclusions with data, and utilise the FMEA Worksheet </li></ul><ul><li>Perform a Cause-and-Effect Verification </li></ul><ul><li>Identify sources of variation and quantify causes where possible </li></ul>
  38. 38. Capability Assessment <ul><li>Determine capability of firm, people, process & technology </li></ul><ul><li>Using the results of the Due Diligence Worksheet , assess the capability of information technology such as project management, skill sets per the Skillset Inventory , applications, data, lifecycle, operations, support, infrastructure, facilities & structure </li></ul>
  39. 39. Best of Breed IT Solutions <ul><li>Identify and review available package applications </li></ul><ul><li>Develop a Software Package Pro's & Con's Matrix </li></ul><ul><li>Consider key factors such as functionality, platforms, scalability, usability, extendibility etc through interfaces and custom development </li></ul>
  40. 40. Industry Best Practices <ul><li>Identify and review relevant “technique” best practices from industry </li></ul><ul><li>Identify and review relevant “functional” best practices from industry </li></ul>
  41. 41. SWOT Analysis <ul><li>Compare the “As-Is” conditions with possibilities to identify </li></ul><ul><ul><li>strengths, </li></ul></ul><ul><ul><li>weaknesses, </li></ul></ul><ul><ul><li>opportunities, </li></ul></ul><ul><ul><li>threats </li></ul></ul>
  42. 42. Criteria for Improvement <ul><li>Define objectives for process improvement </li></ul><ul><li>Categorise improvement objectives for short-term versus long-term </li></ul><ul><li>Define performance standards for the “To-Be” </li></ul><ul><li>Determine constraints & boundaries for the “To-Be” </li></ul><ul><li>Determine whether project should focus on process design or process improvement </li></ul>
  43. 43. Improve - Process (Deliverables & Activities)
  44. 44. <ul><li>“ Better to do something imperfectly than to do nothing perfectly.” </li></ul><ul><ul><li>- Robert H. Schuller </li></ul></ul>
  45. 45. Improve <ul><li>To develop, pilot, and implement a better IT process and / or solution that works within an acceptable investment level and timeframe. </li></ul>
  46. 46. “ To-Be” Process Map - (Preliminary) <ul><li>Develop an ideal view showing how the IT process, supporting firm, and IT systems should look </li></ul><ul><li>Define call-outs on the “To-Be” outlining solution responses to “As-Is” issues </li></ul><ul><li>Define Functional Requirements Definition for the improvement or solution needed </li></ul>
  47. 47. Vision & Scope Definition <ul><li>Envision possible IT process / system solution paths </li></ul><ul><li>List pros & cons for possible process / system solution paths </li></ul><ul><li>Define a preliminary scope definition and corresponding release / phased approach </li></ul>
  48. 48. Solution Scenarios <ul><li>Create a list of ideas for potential solutions & screen / qualify each against the criteria for success </li></ul><ul><li>Identify pro's & con's of alternate solution paths , including costs and benefits for each solution path </li></ul><ul><li>Write a solution statement for most promising / most viable solution paths </li></ul><ul><li>Assess each solution alternative to confirm that root causes are addressed </li></ul>
  49. 49. Feasibility Assessment <ul><li>Consider firm’s resource constraints </li></ul><ul><li>Determine impact to IT processes, systems, support, & operations </li></ul><ul><li>Assess hidden risk factors such as system performance, technical compatibility, technical platform risk and project organisation risk </li></ul><ul><li>Assess resource levels and skill-set needs </li></ul><ul><li>Determine what the best IT solution is under the constraints of time and money </li></ul>
  50. 50. Business Case & ROI Analysis <ul><li>Summarise impacts to IT process based on recommended solution and identify relevant process performance metrics </li></ul><ul><li>Monetise the key process metrics to justify potential business benefits </li></ul><ul><li>Articulate qualitative, tangible, & intangible costs & benefits </li></ul><ul><li>Develop estimates of quantitative costs & benefits </li></ul><ul><li>Review with key stakeholders & gain approval </li></ul>
  51. 51. “ To-Be” Process Map - (Detailed) <ul><li>Conduct process mapping in detail for the “To-Be” environment </li></ul><ul><li>Describe Firm’s Impact for the “To-Be” environment (Preliminary) </li></ul>
  52. 52. Functional Specification <ul><li>Develop specifications for new IT processes, user scenarios, usability, screen flow & navigation, user interfaces, data, applications, administration, infrastructure, security and / or relevant interfaces </li></ul><ul><li>Identify hand-offs, reporting, and data query needs at multiple levels of the firm </li></ul>
  53. 53. Vendor Solution Plan <ul><li>Develop a Request for Proposal (RFP) Framework, based on requirements </li></ul><ul><li>Develop the Vendor Solution Evaluation Criteria </li></ul><ul><li>Assess vendors through a Pre-Qualification Questionnaire and extend invitations to bid as appropriate </li></ul><ul><li>Conduct demo's, question / answer sessions, and score vendors independently </li></ul>
  54. 54. Vendor Solution Plan (Contd.) <ul><li>Evaluate and score candidate vendor solutions with Proposal Scoring Matrix </li></ul><ul><li>Review submitted proposals and contracts against a Contract Terms & Conditions Checklist </li></ul><ul><li>Conduct Vendor Reference Calls for candidate vendor solutions </li></ul>
  55. 55. Resource Plan <ul><li>Develop a skillset needs criteria </li></ul><ul><li>Identify internal and external resource candidates </li></ul><ul><li>Conduct a Resource Interview and skill set testing for each candidate </li></ul><ul><li>Evaluate resources by comparing against established criteria </li></ul><ul><li>Engage appropriate resources to design, build, test & implement </li></ul>
  56. 56. Proposed Solution Definition <ul><li>Define an Architecture Model of the “To-Be” process, firm, and / or system solution, integrating this with the surrounding current environment </li></ul><ul><li>Outline the impact of this solution to the Firm's IT Strategic Roadmap </li></ul>
  57. 57. Technical Specifications <ul><li>Develop a detailed design for new IT process, screen flow & navigation, user interface, data, application, administration, infrastructure, security, and / or relevant interface components </li></ul><ul><li>Develop technical hand-offs and design for reporting and data query needs at multiple levels of the firm </li></ul>
  58. 58. Implementation Plan <ul><li>Plan how to implement the solution </li></ul><ul><li>Establish operating constraints </li></ul><ul><li>Estimate all costs (one-time, project-duration, and post-live) and develop the Baseline Implementation Budget </li></ul><ul><li>Develop an Implementation Project Plan </li></ul>
  59. 59. Implementation Plan (Contd.) <ul><li>Develop a Risk Management Plan </li></ul><ul><li>Develop an Implementation Roles & Responsibilities Matrix </li></ul><ul><li>Establish an Issue Management Plan </li></ul><ul><li>Establish a Knowledge Management Plan </li></ul>
  60. 60. Change Management Plan <ul><li>Identify critical success factors from a Change Management Framework </li></ul><ul><li>Define change management control items for firm, people, process, & technology </li></ul><ul><li>Establish a firm wide Communication Plan </li></ul>
  61. 61. Test Strategy & Plan <ul><li>Identify points of failure for new IT process and / or system </li></ul><ul><li>Identify levels of testing needs and associated prioritisation </li></ul><ul><li>Define Promotion Plan for levels of testing </li></ul><ul><li>Define Test Cases to mirror requirements and specifications </li></ul>
  62. 62. Pilot Plan <ul><li>Establish a Proof-of-Concept Strategy </li></ul><ul><li>Prepare the plan & procedures for Pilot and compare with Pilot Checklist </li></ul><ul><li>Develop Results Measurement Tools for the Pilot </li></ul><ul><li>Develop test criteria for the pilot and develop an appropriate Pilot Test Plan </li></ul>
  63. 63. Piloted Solution & Test Results <ul><li>Conduct simulations of the new IT process and / or system </li></ul><ul><li>Conduct the pilot & measure results </li></ul><ul><li>Evaluate pilot results to determine if IT solution meets or exceeds process improvement objectives </li></ul><ul><li>Identify & review lessons learned from the pilot </li></ul>
  64. 64. Firm Wide Implementation <ul><li>Incorporate pilot learning and refinements into firm wide implementation </li></ul><ul><li>Identify corrective actions & contingency options for risks </li></ul><ul><li>Provide the discipline of Project Management Review for involved resources </li></ul><ul><li>Manage and communicate the Process Change Activities </li></ul>
  65. 65. Firm Wide Implementation (Contd.) <ul><li>Manage and communicate per the Firm Wide Communication Plan </li></ul><ul><li>Manage involved vendors and system development activities </li></ul><ul><li>Coordinate the Quality Assurance (QA) Program per the Test Strategy & Plan </li></ul>
  66. 66. Acceptance Test Results <ul><li>Conduct Acceptance Testing for the new IT process and / or system with direct involvement by customers, users and / or managers </li></ul><ul><li>Obtain written Acceptance Test Sign-Off from customers, users and / or managers </li></ul>
  67. 67. Training <ul><li>Prepare End-User Process-Workflow Documentation and / or System Documentation </li></ul><ul><li>Define a Training Plan & prepare Training Materials </li></ul><ul><li>Identify all affected individuals and conduct training </li></ul>
  68. 68. Implementation Complete <ul><li>Implement the improved process, firm wide changes and / or new IT system </li></ul><ul><li>Gather data for key metric items upon implementation complete </li></ul><ul><li>Finalise actual implementation costs and develop a Budget-to-Actual Comparison Worksheet </li></ul>
  69. 69. Support Process Complete <ul><li>Plan the transition of these changes to an Operational Support Plan </li></ul><ul><li>Identify new process owners </li></ul><ul><li>Conduct a transition of process leadership </li></ul><ul><li>Transfer documentation from project team to firm’s (operational) owners </li></ul>
  70. 70. Control - Process (Deliverables & Activities)
  71. 71. <ul><li>“ A problem clearly stated is a problem half solved.” </li></ul><ul><ul><li>- Dorothea Brande </li></ul></ul>
  72. 72. Control <ul><li>To evaluate the results of the new IT process and / or solution against the root causes and to monitor, measure, and sustain the improved processes and / or systems. </li></ul>
  73. 73. Improved Process Metrics (On-Going) <ul><li>Measure the performance levels of the new IT business process for key metrics </li></ul><ul><li>Perform a Process Sigma Calculation for the new process, and compare to the original process sigma from “As-Is” </li></ul><ul><li>Identify additional on-going metrics to monitor the continued effectiveness of the improved state </li></ul>
  74. 74. Monitor & Evaluate Results <ul><li>Use data gathered for metric items to evaluate the solutions </li></ul><ul><li>Identify key charts or graphs for visual communication of metric results </li></ul><ul><li>Determine level of success for fulfilling original project goals </li></ul><ul><li>Evaluate the cost-benefit performance of the new process and/or system through a Business Case / ROI Performance Worksheet for both qualitative and quantitative results </li></ul>
  75. 75. Lessons Learned & Improvement Process Insights <ul><li>Identify potential quality control problems </li></ul><ul><li>Define remaining deficiencies in the IT process and / or system </li></ul><ul><li>Communicate IT project successes & lessons learned to management and to all stakeholders </li></ul>
  76. 76. Process Improvement Procedure <ul><li>Document the steps and lessons learned that were taken to improve the IT process so it can be done continuously </li></ul><ul><li>Finalise key IT process documentation </li></ul><ul><li>Maintain the gains by standardising IT processes </li></ul>
  77. 77. Process Improvement Procedure (Contd.) <ul><li>Validate that all changes adhere to the firm's regular Change Control Process </li></ul><ul><li>Determine the strategy for controlling further improvements or solutions to this process </li></ul><ul><li>Initiate a regular status with on-going Management Control Process </li></ul>
  78. 78. Recommended Next Steps / Future Plans <ul><li>Identify adjustments needed to reach next sigma </li></ul><ul><li>Define next iteration through DMAIC </li></ul><ul><li>Outline next steps for on-going IT improvement initiative </li></ul>
  79. 79. <ul><li>“ Wherever you see a successful business, someone once made a courageous decision. ” </li></ul><ul><ul><li>- Peter Drucker </li></ul></ul>
  80. 80. <ul><li>Good Luck </li></ul><ul><li>http://www.linkedin.com/in/anandsubramaniam </li></ul>