Creating and Implementing Effective IT Processes

1. Creating and Implementing Effective IT Processes Tom Jordan Network Operations Center Manager University of Wisconsin Whitewater jordant@uww.edu

2. This talk will • Describe our struggles with process improvement • Set some context on organizational process awareness • Describe some of the steps we took to become a more ‘process-savvy’ organization • Provide a recipe for process improvement for you to consider

3. Who am I, and why am I talking to you about processes? • Manage UW-Whitewater’s Network Operations Center • Back-end Technology Infrastructure • Often struggle with inconsistencies in infrastructure projects • Outcomes depend too often on personal perspectives and actions • It’s hard to present a consistent image to the University

4. A little about our starting points • Server administration, network administration, infrastructure engineering • Systems were supported vertically • Technologists covered the full spread – OS, Application, Middleware, etc for their system • Technologists provided a single support interface to customer office areas • Direction was often chosen based solely on technologist’s perspective

5. Problems this caused… • Vertical administration gives little room for depth • Best practices are not identified and applied generally • Senior technologists entirely committed to support work – can’t move new projects forward • Little management visibility into operational practices & day to day decision making • User perspective often missing from strategic direction • Project and support work all ad-hoc, very few defined processes

6. Why process matters • Documents our collective understanding about how things should be done • Removes the need to repeat decision-making processes over and over • Gives us a ‘reference standard’ against which we can benchmark improvements • Gives us the organizational perspective, rather than a collection of personal perspectives • Processes are really how an organization becomes more than just a collection of individuals

7. So how do we get good processes? • First seek to understand your situation • Few get to start from scratch • Even bad processes are still processes, and need to be understood to be modified • You may need to turn over some rocks to find the de-facto processes that are keeping your operation running • Understand your organization’s readiness for process engineering

8. Organizational Maturityvia the Capability Maturity Model (CMM) Level 5 Optimizing Level 4 Managed Level 3 Defined Level 2 Repeatable Level 1 Initial

9. In a Level 1 Organization: • Ad-hoc and chaotic • Unstable environment • Successes are due to personal heroics • Organization still succeeds, but frequently exceeds budgets & misses deadlines • Level 1 Organizations: • Tend to over commit • Abandon processes in times of crisis • Have trouble repeating past successes Organizational Maturityvia the Capability Maturity Model (CMM) Level 5 Optimizing Level 4 Managed Level 3 Defined Level 2 Repeatable Level 1 Initial

10. Organizational Maturityvia the Capability Maturity Model (CMM) • In a Level 2 Organization: • Success is repeatable • Practices are retained during times of stress • Organization uses some basic project management to track cost and schedule • Projects are performed and managed according to documented plans • Project status and delivery of services are visible to management at defined points (milestones, etc) • Process scope is usually small and project-based Level 5 Optimizing Level 4 Managed Level 3 Defined Level 2 Repeatable Level 1 Initial

11. Organizational Maturityvia the Capability Maturity Model (CMM) • In a Level 3 Organization: • Processes are well characterized and understood • Organization’s set of standard processes is established and improved over time • Projects establish processes based on adaptation of organizational standard • Management establishes process objectives based on organization’s set of processes, then measures progress towards objectives Level 5 Optimizing Level 4 Managed Level 3 Defined Level 2 Repeatable Level 1 Initial

12. Organizational Maturityvia the Capability Maturity Model (CMM) • In a Level 4 Organization: • Processes are viewed scientifically and objectively, and are measured accordingly Level 5 Optimizing Level 4 Managed Level 3 Defined Level 2 Repeatable Level 1 Initial

13. Organizational Maturityvia the Capability Maturity Model (CMM) • In a Level 5 Organization: • Even the process of ‘process improvement’ is treated as a measurable, improvable process Level 5 Optimizing Level 4 Managed Level 3 Defined Level 2 Repeatable Level 1 Initial

14. Level 0 Negligent Project management is considered superfluous Level -1 Obstructive Counterproductive, ritualized processes abound. Level -2 Contemptuous / Arrogant Disregard for process improvement is institutionalized. Level -3 Undermining / Sabotaging Conscious discrediting of peer institutions efforts towards process improvement. Organizational ImmaturitySchorsch, USAF

15. 5 - Optimizing 4 - Managed 3 - Defined 2 - Repeatable 1 - Initial UW-W Circa 2005 0 - Negligent -1 - Obstructive -2 - Contemptuous -3 - Undermining So where did we start?

16. What problems did we have? • Overcommitted on a number of fronts • Level of engagement not clear to management • Inconsistent delivery of services to customer • Not a lot of organizational learning happening

17. What did we do? • Defined methodology for project lifecycle • Project definitions • Scope statements • Project plans • Assigned specific technologists to develop SOP’s for their technology areas (Platform Leads) • Created a group to oversee technical operations and ensure standardization and consistency • Deployed business systems to track time and progress in measurable ways

18. Project Startup Documents • Project Definitions • Cover the “why” of the project, overall goal and business value anticipated • Scope Statements • Clarify with customer what will and won’t be delivered • Project Plans • Define overall game plan, task and time estimates and key milestones for measuring progress

19. Platform Leads • Assigned a ‘lead technologist’ for each server OS family • Coordinate platform activities • Define standard operating procedures • Define and project best practices • Represent platform issues to other groups • Ensure consistency and economy of scale

20. Technology Infrastructure Group • Group of infrastructure technologists • Platform leads • Network lead • Campus Security Officer • Define, manage and grow common technology infrastructure facilities • Monitoring, change management, incident command, etc

21. Supporting Business Systems • Time tracking (first) • Very mixed staff reaction • Most see benefit, but also have concerns • Project status tracking (limited) • Behavioral reinforcement very important here • Project portfolio management • Just getting started in this area

22. What was the end result? • Projects are moving forward with fewer internal roadblocks • Project status and issues are more visible to management • Management now has a better grasp on organizational capability, ability to commit to new projects, etc. • Roles and responsibilities are more clearly defined, and most staff are more accepting of them.

23. 5 - Optimizing 4 - Managed 3 - Defined 2 - Repeatable 1 - Initial UW-W Circa 2006 0 - Negligent -1 - Obstructive -2 - Contemptuous -3 - Undermining Where are we now?

24. What did we learn? • Different parts of an organization (and different people) are at different levels • Make expectations appropriate to the level • Plan the process realistically • It’s difficult to apply good PM practices on a project that is being run poorly • Few projects are pure IT projects. Often IT is not the PM • Scoping and defining roles is critically important • When you can’t mandate, seek to educate • If you can’t do anything else, cover it in the after-action review and convey the learning lessons for next time

25. What did we learn? • Process change is still change, and is threatening if not handled with compassion and respect • The early stages will be about changing attitudes and building relationships • Pushing too hard for results at this stage can be harmful • To be successful, you must be prepared to reinvent your organization

26. What did we learn? • You need to be consistent and frequent in reinforcing your process expectations • Processes are learned behaviors. If they’re not reinforced, you might not be able to count on them • Folks that buy in and try should be rewarded. Lack of reward for extra effort is in itself a disincentive. • You need to be realistic in your expectations • If only half of your staff are capable of a given process, expect it to be followed only 50% of the time • You can’t skip steps, and you can’t reinvent your organization overnight • You need to be prepared to slow down a little bit in order to speed up later

27. The Productivity Dip

28. So what makes a process effective? • Effective processes serve their purpose(s) in the most complete manner possible, while minimizing negative side effects. Common Purposes Solve a problem Increase a capacity Communicate information Prepare for the future Common Side Effects Introduce a new problem Move a stress point Introduce confusion Neglect the present

29. Good processes… • Have a clearly defined purpose and set of goals • Include metrics to allow for objective measurement • Include checks and balances to ensure that the implementation ‘sticks’ • Are broken down into simple, trainable components • Include mechanisms for feedback into an improvement process

30. Process Failure in Complex SystemsReason, 1991

31. A recipe for creating and implementing effective processes • Follow these simple steps • Assess • Define • Solve • Implement • Measure • Assess • Remember – “mise en place”. Don’t start cooking until you’re ready. Then don’t stop until you’re done.

32. Assessing the situation • Understand your organization’s readiness to support process engineering • You may have some foundational work to do before process engineering can take place • Clearly identify the areas that will be involved and affected

33. Assessing the situation • Some infrastructure needed for process (and project) management • Project startup and management • Charters, Scope, Deliverables • Milestones and Plans • Time and Progress Tracking • Behavioral conditioning • Communicating the organizational vision • Training, supporting, shaping and encouraging

34. Defining the problem • Apply Feynman’s problem solving algorithm: Step 1 – Write down the problem Step 2 – Think about the problem Step 3 – Write down the solution • As in all things, step 1 is the most important. There is no value in a perfect solution to the wrong problem. • Be sure to identify all of the problem areas that you wish to address.

35. Defining the problem • Example problem: • Installing a new server • Takes too long • Costs too much money • Is not done consistently • Doesn’t meet customer expectations

36. Solving the problem • Find a solution that covers the broadest possible number of problems identified. • Understand new problems that may result. Seek to minimize. • Simpler is always better. People are smart, but organizations aren’t.

37. Solving the problem • In your solution, set some goals & metrics. • To use our example: • When installing a new server • Take no more than two weeks from arrival to turnover • Reduce chargeback amount to CU by 25% • Ensure consistent installation 100% of time • Reduce CU complaints to only 1 in 10 deployments • Know how you’ll know that the problem is solved or the project is over

38. Implementing the Solution • Vet the solution with those that will have to apply it. • Ensure all steps are clear, and all have the necessary resources • Training and feedback are very important • Ensure feedback loops are in place to safeguard the process • Checklists • Periodic reviews

39. Measuring the Result • This is why metrics are important in the solution • Congratulate on the successes, identify and work on the weak spots • Remember that you cannot manage what you cannot measure.

40. Assessing the situation • Growing individual processes also grows organizational awareness for process issues • Review the process improvement activity and see what needs to be reinforced or changed for next time

41. In conclusion • Process improvement and organizational development go hand-in-hand • It will take time, effort and persistence to get through the initial stages • Foundational steps of ‘process awareness’ set the stage for later achievements

42. Questions?