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Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis
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Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis

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This presentation discusses and analyzes the opportunity to approach a typical TQM qualitative technique such as Root-Cause Analysis (RCA), expressed with the well-known Ishikawa (or Fishbone) …

This presentation discusses and analyzes the opportunity to approach a typical TQM qualitative technique such as Root-Cause Analysis (RCA), expressed with the well-known Ishikawa (or Fishbone) diagrams, in a quantitative manner. Adding a control measure at the end of each ‘cause bone’ can help decision-makers in their determination of corrective/improvement actions to take in terms of how much to introduce into the related action plan in the way of resources. The ISO 15939 Measurement Information Model can be the appropriate technique to help derive such measures, as it overcomes the intrinsic limitations of Orthogonal Defect Classification (ODC) by providing direct process improvement at ML2 on Measurement & Analysis (ME) and at ML3 on Organizational Process Focus (OPF), in particular taking care of the specific practice SP1.4 concerning the establishment of the organization’s measurement repository), as well as on the General Practice GP2.8 (Monitor & Control the Process) across all the process areas involved in each single cause-effect analysis. The communication issue is discussed, an alternative way to express Ishikawa diagrams is proposed (Mind Maps), and how Mind Maps can facilitate the diffusion of RCA and its quantitative variant (Q-RCA) into organizations, and subsequently be used by organizations, is shown.

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  • 1. 5° Software Measurement European Forum: Milan, 28-30 May 2008 Strengthening CMMI Maturity Levels with a Quantitative Approach to Root-Cause Analysis Luigi Buglione Engineering.it / ETS Montréal luigi.buglione@eng.it www.eng.it SMEF 2008 – L.Buglione © 2008
  • 2. Goals: Goals  G1. Discuss and analyze the opportunity to approach RCA in a quantitative manner  G2. Using Q-RCA in a visual, more appealing manner using Mind Maps, in order to overcome possible communication problems  G3. Show some possible usages of the “visual Q-RCA” with a discussion of expected benefits www.eng.it SMEF 2008 – L.Buglione © 2008 2
  • 3. Agenda x Introduction  A short summary about RCA x Root-Cause Analysis (RCA) and Process Improvement  Causal Analysis & Resolution and CMMI: high or low maturity process?  Impacts on Process Rating and subsequent improvement actions x Joining RCA and ‘Open’ Measurement  Measuring RCA by ODC: some limitations  Extending the measurable RCA scope of application  From GQM to ISO 15939 Measurement Information Model (MIM) x Visualizing and Communicating RCA  SPI models and the Communication process  Fishbone diagrams: some problems and limitations  Mind Maps: origins & perspectives  Possible Applications of Q-RCA using Mind Maps x Conclusions & Prospects www.eng.it SMEF 2008 – L.Buglione © 2008 3
  • 4. Introduction Some short notes on RCA • From Staged towards Continuous representations in Maturity Models  broader awareness about the path towards a ‘real’ process improvement  appraisal of each single process of interest for an organization • Most known and applied MM and RCA  CMMI has both representations  ISO/IEC 15504 (aka SPICE) has only the continuous representation • Root-Cause Analysis (RCA) and Maturity Levels (ML)  CMMI has a ML5 process area (CAR – Causal Analysis & Resolution)  ISO 9001:2000 asks for RCA as a basic requirement to be satisfied  Approx. equivalence between ISO 9001 certified companies and CMMI ML2-3  Discrepancy among the RCA’s positioning in CMMI and ISO 9001 • Possible solutions  Adopt a continuous representation in MM (no influence of staged view on PI)  Shift down CAR-related assets/issues across levels: − Move CAR at ML2 in MM (re-alignment of assumptions for proper appraisals) − Move GP5.2 to GP2.x (being a basic mechanism to evolve towards higher CL) www.eng.it SMEF 2008 – L.Buglione © 2008 4
  • 5. Introduction Some short notes on RCA • Q: RCA is a typical qualitative TQM tool. Is it possible to evolve it as a quantitative tool? • A: possible solutions  Make RCA more quantitative, linking it to organizational PAL’s − PAL (Process Asset Libraries) − Those ones typically demanded in CMMI’s OPD/OPF process areas  Provide some tips for spreading its use in organizations − Communication − Visual aids −… www.eng.it SMEF 2008 – L.Buglione © 2008 5
  • 6. Agenda x Introduction  A short summary about RCA x Root-Cause Analysis (RCA) and Process Improvement  Causal Analysis & Resolution and CMMI: high or low maturity process?  Impacts on Process Rating and subsequent improvement actions x Joining RCA and ‘Open’ Measurement  Measuring RCA by ODC: some limitations  Extending the measurable RCA scope of application  From GQM to ISO 15939 Measurement Information Model (MIM) x Visualizing and Communicating RCA  SPI models and the Communication process  Fishbone diagrams: some problems and limitations  Mind Maps: origins & perspectives  Possible Applications of Q-RCA using Mind Maps x Conclusions & Prospects www.eng.it SMEF 2008 – L.Buglione © 2008 6
  • 7. RCA & Process Improvement CAR and CMMI: high or low maturity process? • RCA and Total Quality Management (TQM)  RCA is one of the ‘old’ TQM tools (more qualitative)  aka ‘Fishbone’ or ‘Ishikawa’ diagram  Objective: to derive, in a back-forward manner, related causes for an effect  Visually represented as a ‘fishbone’ Elaboration from: Leszak M., Perry D.E. & Stoll D., A Case Study in Root Cause Defect Analysis, Proceedings of the 22nd International Conference on Software Engineering (ICSE 2000), Limerick (Ireland), June 4-11 2000, ISBN 1581132069, pp.428-437 www.eng.it SMEF 2008 – L.Buglione © 2008 7
  • 8. RCA & Process Improvement CAR and CMMI: high or low maturity process? • Nature of the tool  Core analysis technique within an improvement path  It summarizes more TQM techniques into one − brainstorming, affinity diagram, Pareto analysis  Foundation mechanism for establishing any action plan • RCA and ML  CMMI has a ML5 process area (CAR – Causal Analysis & Resolution)  RCA is as a basic requirement to be satisfied for ISO 9001:2000 certification  Approx. equivalence between ISO 9001 certified companies and CMMI ML2-3  Discrepancy among the RCA’s positioning in CMMI and ISO 9001  Opened a CR to SEI on it in 2007  partly received in the CMMI-SVC ‘Problem Management’ PA draft (ML2) www.eng.it SMEF 2008 – L.Buglione © 2008 8
  • 9. RCA & Process Improvement Impacts on Process Rating and subsequent improvement actions • Q: how can CAR and DAR be two ML apart, being so intimately related? • Q: Being RCA executed in any project (even if not in a graphical notation) and evincible from any meeting report, shouldn’t it be at ML2? • Q: if CAR is a basic mechanism for process improvement, shouldn’t it be positioned before statistical control mechanisms (ML4/GP4.x)? • A: the apparent impact on process and organizational ratings is less than the real one, because:  the current CMMI ‘staged’ path does not reflect a company’s priorities, and  CAR is relegated where it will be evaluated by few ones www.eng.it SMEF 2008 – L.Buglione © 2008 9
  • 10. Agenda x Introduction  A short summary about RCA x Root-Cause Analysis (RCA) and Process Improvement  Causal Analysis & Resolution and CMMI: high or low maturity process?  Impacts on Process Rating and subsequent improvement actions x Joining RCA and ‘Open’ Measurement  Measuring RCA by ODC: some limitations  Extending the measurable RCA scope of application  From GQM to ISO 15939 Measurement Information Model (MIM) x Visualizing and Communicating RCA  SPI models and the Communication process  Fishbone diagrams: some problems and limitations  Mind Maps: origins & perspectives  Possible Applications of Q-RCA using Mind Maps x Conclusions & Prospects www.eng.it SMEF 2008 – L.Buglione © 2008 10
  • 11. Joining RCA and ‘Open’ Measurement Measuring RCA by ODC: some limitations • Measuring RCA by ODC  ODC: IBM’s Orthogonal Defect Classification (R.Chillarege, 1992)  ODC proposed a standard taxonomy of causes for software testing process by the number of defects detected  Pros: quantitative usage of RCA  Limitations: − allow benchmarks but applying such taxonomy − not directly covered other SLC phases www.eng.it SMEF 2008 – L.Buglione © 2008 11
  • 12. Joining RCA and ‘Open’ Measurement Extending the measurable RCA scope of application • RCA, QM and GQM  By analogy, here a comparison with a three-tier schema  Addition of a third layer to RCA with measures will allow to quantify causes  Q-RCA (Quantitative RCA) Level Quality Model (QM) Root-Cause Analysis GQM (RCA) 0 Product Effect Goal 1 Characteristic Cause Question 2 Sub-Characteristic Sub-Cause Sub-question 3 Measure (Measure) Metric (Measure) • Possible advantages with Q-RCA  spread the ODC lesson to all the facts of interest in a project  less subjectivity in assigning priorities to causes for tasks in action plans  stimulate an easier data gathering across projects and in the organization  reduce CONQ (Cost of non Quality) in m/l term and optimize COQ (Cost of Quality)  easy applicable to all processes www.eng.it SMEF 2008 – L.Buglione © 2008 12
  • 13. Joining RCA and ‘Open’ Measurement Extending the measurable RCA scope of application • Q: as an intermediate goal, can Q-RCA be made automatic (and easy to be used)? www.eng.it SMEF 2008 – L.Buglione © 2008 13
  • 14. Joining RCA and ‘Open’ Measurement From GQM to ISO 15939 MIM Goal Implicit models Interpretation Definition Question Q1 Q2 Q3 Q4 Metric M1 M2 M3 M4 M5 M6 M7 • GQM (Goal-Question-Metric) • MIM (Measurement Information Model) www.eng.it SMEF 2008 – L.Buglione © 2008 14
  • 15. Agenda x Introduction  A short summary about RCA x Root-Cause Analysis (RCA) and Process Improvement  Causal Analysis & Resolution and CMMI: high or low maturity process?  Impacts on Process Rating and subsequent improvement actions x Joining RCA and ‘Open’ Measurement  Measuring RCA by ODC: some limitations  Extending the measurable RCA scope of application  From GQM to ISO 15939 Measurement Information Model (MIM) x Visualizing and Communicating RCA  SPI models and the Communication process  Fishbone diagrams: some problems and limitations  Mind Maps: origins & perspectives  Possible Applications of Q-RCA using Mind Maps x Conclusions & Prospects www.eng.it SMEF 2008 – L.Buglione © 2008 15
  • 16. Visualizing & Communicating RCA SPI models and the Communication Process: some drawbacks… • Communication issues in MM  Partly addressed, even if fundamental − CMMI GP2.7 on stakeholders’ involvement  Heavily documented and discussed how communication pitfalls represent a major problem which may make a process improvement initiative unsuccessful www.eng.it SMEF 2008 – L.Buglione © 2008 16
  • 17. Visualizing & Communicating RCA … and possible solutions • Possible solutions to reduce resistance to change  introduction of organizational improvement models (i.e. IDEAL) and related analysis tools such as RCA, using it also as a communication tool  a daily/more current use of RCA will necessarily increase the quality of communication among the different stakeholders  Q-RCA can improve the quantitative view on the effects to be analyzed www.eng.it SMEF 2008 – L.Buglione © 2008 17
  • 18. Visualizing & Communicating RCA Fishbone diagrams: some problems & limitations • Appraisal of appropriate resources for each process of interest  CMMI GP2.3 (Provide Resources) • Available types  free-hand drawing with a presentation tool − i.e. MS-Powerpoint; OpenOffice Impress, …  specific drawing tools − i.e. RCAXPress; Freemind, … Generic drawing tools with RCA templates − i.e. MS-Visio; SmartDraw, … • Difficulties to connect with other org. Information Systems • Increased effort for maintenance of RCA charts reduce its adoption • …which solution to satisfy all these requirements at a time? www.eng.it SMEF 2008 – L.Buglione © 2008 18
  • 19. Visualizing & Communicating RCA Mind Maps: origins & perspectives • Definition: “A mind map is a diagram used to represent words, ideas, tasks or other items linked to and arranged radially around a central key word or idea […]” (from Wikipedia) • Origins  at least from the 300BC on (i.e. Porphyry of Tyros, a noted thinker)  more recently proposed by psychologist Tony Buzan • Perspectives  several possible usages, with the common aim to represent concepts grouping them by some criteria  brainstorming, creating a hierarchy of concepts, note-taking, etc… www.eng.it SMEF 2008 – L.Buglione © 2008 19
  • 20. Visualizing & Communicating RCA From RCA to Mind Maps (1/5) www.eng.it SMEF 2008 – L.Buglione © 2008 20
  • 21. Visualizing & Communicating RCA From RCA to Mind Maps (2/5) www.eng.it SMEF 2008 – L.Buglione © 2008 21
  • 22. Visualizing & Communicating RCA From RCA to Mind Maps (3/5) www.eng.it SMEF 2008 – L.Buglione © 2008 22
  • 23. Visualizing & Communicating RCA From RCA to Mind Maps (4/5) www.eng.it SMEF 2008 – L.Buglione © 2008 23
  • 24. Visualizing & Communicating RCA From RCA to Mind Maps (5/5) www.eng.it SMEF 2008 – L.Buglione © 2008 24
  • 25. Visualizing & Communicating RCA Possible applications of Q-RCA using Mind Maps  Meeting Reports (3 pages) www.eng.it SMEF 2008 – L.Buglione © 2008 25
  • 26. Visualizing & Communicating RCA Possible applications of Q-RCA using Mind Maps  Within a wiki www.eng.it SMEF 2008 – L.Buglione © 2008 26
  • 27. Visualizing & Communicating RCA Possible applications of Q-RCA using Mind Maps  At the project closure (‘post-mortem analysis’) The ‘measure’ bone level Example taken from: www.scatolepensanti.it www.eng.it SMEF 2008 – L.Buglione © 2008 27
  • 28. Visualizing & Communicating RCA Measurement construct with MIM: an example Information Need Evaluate the completeness level for a project’s User Requirements (UR) Measurable Concept Completeness of URs Relevant Entities 1. URs produced within the current iteration Attributes 1. Text of URs 2. List of changes to insert in the new, refined version of the URs Base Measures 1. Number of UR to be re-worked per iteration 2. Number of URs written per iteration Measurement Method 1. Count the number of URs to be re-worked in an iteration 2. Count the overall number of URs formulated in an iteration Type of Measurement Method 1. Objective 2. Objective Scale 1. Integers from zero to infinity 2. Integers from zero to infinity Type of Scale 1. Ratio 2. Ratio Unit of Measurement 1. URs 2. URs Derived Measure Percentage of URs to be reworked per iteration Measurement Function Divide the number of URs to be reworked per iteration by the total number of URs for the iteration Indicator UR completeness level Model Compute thresholds using values of reworked URs per project and customer Decision Criteria Results outside the established threshold require further investigation See ISO/IEC 15939:2007, Appendix A www.eng.it SMEF 2008 – L.Buglione © 2008 28
  • 29. Agenda x Introduction  A short summary about RCA x Root-Cause Analysis (RCA) and Process Improvement  Causal Analysis & Resolution and CMMI: high or low maturity process?  Impacts on Process Rating and subsequent improvement actions x Joining RCA and ‘Open’ Measurement  Measuring RCA by ODC: some limitations  Extending the measurable RCA scope of application  From GQM to ISO 15939 Measurement Information Model (MIM) x Visualizing and Communicating RCA  SPI models and the Communication process  Fishbone diagrams: some problems and limitations  Mind Maps: origins & perspectives  Possible Applications of Q-RCA using Mind Maps x Conclusions & Prospects www.eng.it SMEF 2008 – L.Buglione © 2008 29
  • 30. Conclusions & Prospects • One of the foundation processes for continuous improvement is cause- effect analysis  Aka Root-Cause Analysis (RCA) or Ishikawa diagram • Well-known SPI models (i.e. CMMI) positioned RCA at the highest level  ML5 from a process viewpoint (staged view)  GP5.2 from an appraisal viewpoint • Direct effects from appraisal results are…  RCA will be not often evaluated  An underevaluation of the real capability of an organization  It is not aligned with the ISO 9000/9001 principles & requirements • Possible solutions  Place RCA at ML2/GP2.x in SPI models  Evolve RCA as a quantitative tool (Q-RCA), based on GQM principles  Adopt RCA using a visual approach, using mind maps • Q-RCA possible advantages  More objective evaluation of resources for tasks in the action plan  Reduce project stakeholders’ resistance, providing more information  Direct linkage of Q-RCA with the adopted information systems www.eng.it SMEF 2008 – L.Buglione © 2008 30
  • 31. …and a bit of ‘murphology’ • COMMERCE LAW: Excess of analysis causes paralysis • LAW OF COMMUNICATIONS: The inevitable result of improved and enlarged communications between different levels in a hierarchy is a vastly increased area of misunderstanding • FIFTH LAW OF DECISION MAKING: Decisions are justified by the benefits to the organization, but they are MADE by considering the benefits to the decision-makers • SECOND LAW OF COMMUNICATION: The information conveyed is less important than the impression www.eng.it SMEF 2008 – L.Buglione © 2008 31
  • 32. Q&A Thanks for your attention! www.eng.it SMEF 2008 – L.Buglione © 2008 32
  • 33. LuigiBuglione Engineering.it S.p.A. t +39 06 83074472 Via Riccardo Morandi, 32 m +39 335 1214813 I-00148 Rome (Italy) luigi.buglione@eng.it www.eng-it.it www.eng.it SMEF 2008 – L.Buglione © 2008

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