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VERSION 2.

Advancing Service
Excellence
DISCLAIMER

THIS MATERIAL IS FURNISHED ON AN AS-IS BASIS. CMMI


INSTITUTE MAKES NO WARRANTIES OF ANY KIND, EITHER
EXPRESSED OR IMPLIED, AS TO ANY MATTER INCLUDING, BUT
NOT LIMITED TO, WARRANTY OF FITNESS FOR PURPOSE OR
MERCHANTABILITY, EXCLUSIVITY, OR RESULTS OBTAINED FROM
USE OF THE MATERIAL. CMMI INSTITUTE DOES NOT MAKE ANY
WARRANTY OF ANY KIND WITH RESPECT TO FREEDOM FROM
PATENT, TRADEMARK, OR COPYRIGHT INFRINGEMENT.

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MODULE 1.1

Introductions
WHO ARE WE?

Prepare to introduce a classmate Find your teammates


You have been given the Participant Background for Sit at the table labeled with the name of the
another student organization in your assigned context

Find that peer When other team members arrive, discuss and write the
information found in the organization description that
Discuss what to share with the rest of the class during might affect how work is done (will discuss later)
introductions (You will introduce that person later)

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WELCOME

Welcome Video
Here

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INTRODUCTIONS My name & what my
organization does
My development
When I took background What my
Foundations of stakeholders
Capability care about

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RULES OF
ENGAGEMENT

Participate and share your experience.

Speak one at a time.

Keep discussions and questions to the pointinstructors


may need to bin some questions to keep on topic. Change Requests
Submit change requests
Use the parking lot for issues. for model and training
issues below:

Once an issue has been posted, do not continue to revisit it. info@cmmiinstitute.com

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LOGISTICS

EMERGENCY

EXIT
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AGENDA

Day 1 Day 2 Day 3 Day 4


Goals & Objectives Participant Presentations Participant Presentations Special Topics

Organization Contexts Building and Sustaining Building and Sustaining Organizational Change
Capability 1 Capability 2
Participant Presentations Assess Learner Objectives
Special Topics Group Presentations
Select Special Topics Individual Feedback
Special Topics
Prepare for Written
Assignment Prepare for Exam

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MODULE 1.2

Course Goals
Where This Course Fits

PRE-REQUISITE TO:

Participating on a CMMI appraisal


team

Becoming a CMMI Professional

Becoming a CMMI Instructor

Becoming a CMMI Appraisal Team


Leader
COURSE
GOALS

Im taking this course because I want to know more about the CMMI model to
Using a single model Using more than 1 model
(DEV, SVC, SPM, WFM)

Implement the practices effectively and


efficiently in my own organization processes

Help other organizations implement the


practices effectively and efficiently in their
processes

Deliver training or appraisal services to other


organizations

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COURSE
GOALS

By the end of this course, you will understand how to complete the following
tasks:

Understand how to leverage best practices of CMMI


Demonstrate understanding of how to leverage the CMMI model to help avoid or reduce the impact of
an issue
Evaluate impact of a process improvement activity
Demonstrate an understanding of how persistence and habitual sustainment of processes is achieved

NEXT: Well talk in a few minutes about any other purposes or expectations
you may want to cover.

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LEARNER OBJECTIVES ADVANCING ORGANIZAITONAL CAPABILITY
Learner Objectives

Advancing Organizational Capability:


Learner Objectives

CMMIINSTITUTE.COM pg 1

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COMPLETION
CRITERIA

Successful completion of this course requires that you satisfy the following
requirements:
Address all prerequisites
Present pre-course assignment to the class
Attend all course sessions
Participate in discussions, quizzes, and exercises
Meet all objectives for the written assignment
Pass the open book exam

You will receive a course certificate upon successful completion.

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MODULE 1.3

CMMI Terminology
1. Acquirer
2. Availability
3. Capacity
4. Competency
5. Contractor
Without discussion, define these CMMI
terms in your own words. 6. Empowerment
You may use reference materials; there will
7. Governance
not be time to look up every term. 8. Incident
9. Lifecycle model
10. Peer
CMMI Terminology 11. Performance
12. Service system
13. Supplier
14. Tailored process
15. Workforce
MODULE 1.4

Context Overviews
ORGANIZATION CONTEXTS

Instructions On a flip chart


Summarize the important characteristics of your
assigned organization context.
Organization name
Then choose someone from your group to present.
Type of work

Customers

Organization structure and size

Location of work

Culture

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MODULE 1.5

Capability Areas
CMMI CAPABILITY AREAS

Without discussion

List the capability areas in each category

List the practice areas in each capability area

Circle the practice areas that are included in your primary CMMI
model

You may use reference materials; there will not be


time to look up every term.

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MODULE 1.6

Applying CMMI to
Vendor Management
VENDOR MANAGEMENT
SCENARIO

Supplier agreement isnt clear about expectations problems result

01 02 03 04

Identify the issue or opportunity Use the Quick References and List the PAs and practice Choose someone from your
in the vendor management online model. numbers on a flip chart. group to present.
scenario in your context.

Identify practice areas (Pas) Explain why each would help


containing practices the address the issue or opportunity.
organization could implement
more effectively.

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VENDOR MANAGEMENT DEBRIEF

When the supplier agreement isnt


clear about expectations, problems
result
Which practice areas and practices were useful for each
context?

How did context differences affect choice of practice


level or context-specific information within these
practice areas?

Which practice areas and practices were useful for at


least one context but not others? Why?

Which other practice areas and practices might be


useful?

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MODULE 1.7

Prepare for
Presentations
PRESENTATION ORDER

Find others with same 1 4 Decide on your


scenario groups presentation
order
Decide on time slot 2

Negotiate with other 3 5 Post scenario title


groups for time slot and names in
appropriate time slot

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PRESENTATION EXPECTATIONS

Presentation Expectations
Performance skills
Correct use of CMMI concepts and terminology

Overview Impact Potential Solution Relevancy


Solution Impact
Quick overview of Impact of issues or Aspects of the Impact of solution on Which learner
aspects of situation opportunities on organization that business results and objectives are
issues or business and affect solution choice stakeholders relevant?
opportunities stakeholders Activities
Work products
Participants
Relevant CMMI
practice areas

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LEARNING FROM PRESENTATIONS

Proposed solution for Proposed solutions Questions to ask


each context across contexts yourself

Aspects of the organization that What is similar? Why? What can I apply to my own
affected solution choice What is different? Why? work?
Activities Are there other useful CMMI Which learner objectives are
Work products practice areas and practices? relevant?
Participants
Impact and risks
CMMI practice areas
CMMI practices

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MODULE 1.8

Presentation Scenarios
Managing
Work

Work is already underway, but some planned


resources are no longer available.

Scenario
New Solution

The general concept has been identified, and


money is available. Now its time to produce a
complicated system.
Scenario
Scenario

Customer requests are flowing in, but the


request system is having problems.
.

Customer
Issues
Scenario

People arent following organization standard processes for


some reason.

Process
Management
Resilience

People in the organization know that if there is


a power outage, then they will be unable to do
their work adequately.

Scenario
Strategic
Changes and
Additions

The management team makes decisions without


thinking about strategic business objectives.

Scenario
MODULE 1.9

Review Learner
Objectives
HOW ARE YOU DOING?

Mark how your learning


is progressing based on
the learner objectives we
have addressed.

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MODULE 1.10

Select Special Topics


Possible special topics
MODULE 1.11

Prepare for Written


Assignment
COMPLETION
CRITERIA

Successful completion of this course requires that you satisfy the following
requirements:
Address all prerequisites
Present pre-course assignment to the class
Attend all course sessions
Participate in discussions, quizzes, and exercises
Meet all objectives for the written assignment
Pass the open book exam

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WRITTEN ASSIGNMENT

Demonstrate your ability to apply CMMI practices to address a real-world issue or opportunity:

Describe an organization context


Describe an issue or opportunity
Describe a process improvement solution for that issue or opportunity

Submission

Provide hardcopy for facilitator


Additional electronic copy recommended
Submit prior to beginning of class on final day

Facilitator will evaluate assignment and provide feedback:

All objectives met PASS


One or more objectives met or partially met may request a new assignment and rewrite the exercise once
One or more objectives not met may retake Applying CMMI

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WRITTEN ASSIGNMENT CRITERIA

Guidelines
Meet all objectives for written assignment
Use plain language, and do not copy model verbatim
Identify CMMI practice areas and practices used in solution

Stay within specified paragraph and page lengths


CMMI Context 1-2 paragraphs
Issue or opportunity 1-2 paragraphs
Institute Solution maximum 2 pages
Total assignment length maximum 3 pages

Solution must be based on at least


Three Level 1-3 practices from your assigned practice area
Relevant practices from Building and Sustaining Capability
practice areas

Ensure that spelling and grammar mistakes do not impede the


facilitators understanding of your work

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ORGANIZATION CONTEXT INSTRUCTIONS

Individually or in groups of 2-3 people,


define an organization context.

Describe the organization context. Include the following items:


Organization name
Type of work
Customers
Organization structure and size
Location of work
Culture
Other

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SCENARIO AND SOLUTION
INSTRUCTIONS

Individually, describe a process improvement solution that


addresses an issue or opportunity for your organization context
Use level 1-3 practices from your assigned practice area and
other relevant practice areas
Provide information about each of the following items:

Work products created or changed


Stakeholders involved
Risks
Impact on stakeholders and performance results

Describe how to ensure that the process improvement solution is


persistent, sustained, and habitual
Identify which CMMI practice areas and practices were used

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MODULE 1.12

Building and Sustaining


Capability Practice
Areas: Review
BUILDING & SUSTAINING CAPABILITY

Without discussion

Summarize the practices in the Identify other practice areas that You may use reference materials;
Building & Sustaining practice areas provide guidance on how to there will not be time to look up
in your own words implement GOV and II practices every term.

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MODULE 1.13

Building and Sustaining


Capability: Applying
Gov and II Practices
BUILDING & SUSTAINING CAPABILITY

Work with others who have the same context

Describe what is needed to make sure the


processes are persistent, sustained, and habitual

Instructions List involved stakeholders and work products

Map to Governance and Infrastructure practices

Choose a presenter

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BUILDING & SUSTAINING CAPABILITY
EXAMPLE

WHO needs WHAT

stakeholders work products

To ensure vendor management processes and


improvement are persistent, sustained and
habitual
To establish, maintain, and manage the
agreement
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MODULE 1.14

Preparation for
Professional Exam
COMPLETION
CRITERIA

Successful completion of this course requires that you satisfy the following
requirements:
Address all prerequisites
Present pre-course assignment to the class
Attend all course sessions
Participate in discussions, quizzes, and exercises
Meet all objectives for the written assignment
Pass the open book exam

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ABOUT THE PROFESSIONAL EXAM

4-hour open book, proctored exam (most finish in less time)

60 multiple choice and true/false questions

30 questions based on Applying CMMI and Foundations


of Capability learner objectives

30 model-specific questions based on Building Excellence


learner objectives for your primary model (CMMI-DEV,
CMMI-SVC, CMMI-SPM, CMMI-WFM)

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EXAM QUESTION TYPES MODEL CONTENT
PRACTICE QUESTIONS

Answers would be
helpful in notes
section

1. Which CMMI practice area 2. The intent of the RDM practice area
contains practices related to riding is to develop and keep updated bicycle
a bicycle? riding techniques that are compatible
with both rural and city roads.
A. RDM
B. MPM A. True
C. TS B. False
D. None of the above

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EXAM QUESTION TYPES APPLYING MODEL
PRACTICE QUESTIONS

1. Situation The staff is evaluating several new


personal trackers that they would like to sell
to help athletes monitor their own progress.

Context Which of the following does NOT need to be


Bikes4U is a small company that provides training and considered for each tracker?
instruction on bicycle riding. Their primary customers are
athletes who want to improve their speed and endurance
A. What is the wholesale price?
B. Does the tracker have a Bluetooth
connection?
C. Is there an edible version of the tracker?

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EXAM QUESTION TYPES APPLYING MODEL
PRACTICE QUESTIONS

1. Situation Pat wants to race next week but


doesnt know how to ride a bicycle. So she
asks the Bikes4U staff for help.

Context The only way for someone to learn to ride a


Bikes4U is a small company that provides training and
instruction on bicycle riding. Their primary customers are
bicycle is by viewing a video about bicycle
athletes who want to improve their speed and endurance repair.

A. True
B. False

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PROFESSIONAL EXAM
PREPARATION

Review Practice Strategy


Review learner objectives: Practice asking and answering Practice finding information
questions related to the learner quickly in the CMMI V2.0 model
Foundations of Capability objectives:
Building Excellence Do not try to memorize the
Applying CMMI Questions directly related to model!
model content and terminology

Questions about applying


model content and terminology
in a context

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MODULE 1.15

Learner Objective Q&A


LEARNER OBJECTIVE REVIEW
Courses
Q&A PREPARATION Learner Objectives

Choose a Learner Objective

Question
a question related
to the learner
objective

Answer
the answer to
that question

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LEARNER OBJECTIVE REVIEW
Q&A GAME

Question
a question related
to the learner
objective

Answer Answer
the answer to the answer to
that question your question

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MODULE 1.16

Organizational Change
WHY CHANGE?

Individually identify 4 reasons to change how work is


performed in an organization

Combine lists with others in your group

Choose the top 10 reasons for change

Write your group list on a flip chart

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CHANGE IS HARD

Individually identify 4 barriers to change

Combine lists with others in your group

Choose the top 10 reasons for barriers

Write your group list on the same flip chart as


Reasons to Change

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CHANGE MANAGEMENT
KEY ELEMENTS

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CHANGE MANAGEMENT

Virgina Satir

Most people prefer the certainty of misery to the misery of uncertainty

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WHY IS IT SO HARD?

Everyone already has a process


It is their habitual way of doing their work

We all know how difficult it is to change habits

If it aint broke, dont fix it

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CHANGE METHODS

Vary in scope
Size of change, number of people affected

Other scope variations?

Vary in approach
Structured and explicit, organic and ad hoc, starting with vision and
working backwards, starting with current state and working forwards

Other approaches?

Vary in procedures, techniques, and tools


Examples?

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NO ONE RIGHT WAY

There is no one right way

Many ways to implement

How well any way works is situationally dependent

Must fit the culture

Lean must have value

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KEYS TO SUCCESSFUL ORGANIZATIONAL CHANGE

Know where you are going

Understand and address stakeholders needs and impacts

Use effective methods

Ensure commitment and accountability

Reinforce and ensure sustainability

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CHANGE READINESS
CHECKLIST #1

Is it clear who wants the change and why? Are the common benefits for the organization and
the workers clear?

Are plans for change and its outcomes explained Is there strong support for change from top
in a simple, detailed way? management?

Are plans for change put in terms that are Are potential problems or conflicts with present
meaningful to those who must live with them? practices stated up front?

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CHANGE READINESS
CHECKLIST #2

Do you initially introduce change in a small,


accepting part of the organization?
Do you or your management spend enough time
gathering information and opinions, defining
potential problems, and getting feedback about
the changes?
Does your change plan confront the problems for
those who will be most affected?

Do you or your management build enough


support for change (e.g., teams, coalitions,
advocates, supporters)?
Do you reward individual participation in the
change process and publicize successes?

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KNOW WHERE YOURE GOING

Where you want to go Where you are now


Reasons for change Current state of processes,
tools, skills
Clear tie to business goals and
objectives Current performance results

Vision Barriers to change

Strategy

Measurable performance
results

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CLEAR TIE TO BUSINESS OBJECTIVES

How will the process improvement initiative support the


organizations business objectives?

What are the organizations highest priorities?

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DOCUMENT THE AS IS FIRST

First document what you are doing

Resist the temptation to document what you think you


should be doing

Dont try to improve the process as you document it

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STAKEHOLDERS NEEDS AND IMPACT

Organizational structure and People who are affected by


culture the work

Service management and Which CMMI People who will lead the
leadership change effort
V2.0 practice
areas can
help?
People who do the work WIIFM Whats in it for me?

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Planned change relies on getting the right
people with the right attributes into the right
roles at the right time!

The Importance of Getting the


Right Mix
What Our Partners Say:

Senior management sponsorship is critical

Without constant vigilance, steady pressure, and active visible support by senior
management, results will not change
What management pays attention to gets done

Providing only funds is not enough

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WORKER INVOLVEMENT

They will buy into the process


Without this process, resistance
will increase
People who
perform a task
need to be
The process will reflect how the involved in
work gets done Compliance will be difficult
defining and
revising their own
process
As they document, they will see
improvements

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CONSIDER ALL ORGANIZATIONAL FUNCTIONS

Management steering function Metrics collection and analysis

Process function Quality assurance

Training

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CUSTOMER MANAGEMENT

Manage the impacts of the Educate customers about your new Manage impacts on other
changes with customers (internal processes and its impacts organizational entities
or external)

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FIRST STEPS TO A WIN-WIN RELATIONSHIP

Understanding the stakeholders


Goals and objectives

Environment

Problems and issues

Wants and needs

Hot buttons

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CHANGE EFFORT ROLES

Inventors Experts
01


Integrate trends and data into concepts,
models, and plans
Envision the big picture
04


Take responsibility for the technical
knowledge and skills required for the change
Explain information in a logical way

Entrepreneurs Managers
02



Focus on organizational efficiency and
effectiveness
Identify critical issues and new possibilities
Seek new opportunities
05



Simplify
Delegate
Assign priorities
Develop other priorities
Get the job done at all costs

Integrators Sponsors
03


Forge alliances
Gain personal acceptance and help to gain
acceptance for team and its program
Relate practical plans to strategic plans and
06


Ensure support and resources from the
highest levels of the organization
Communicate where the change fits in the
overall vision of the organization
organizational issues

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USE EFFECTIVE METHODS

Communication
Plan the work

Training

Right level of detail

Measurement

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PLAN THE PROGRAM

Failing to plan is The First Step to Success: Develop a Plan


planning to fail

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RIGHT LEVEL OF DETAIL

Dont let perfect


be the enemy of
Too fine a level of detail will confuse and frustrate good enough
You cannot anticipate every eventuality

Determine the level of control needed

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DONT OVERWHELM WITH CHANGE

Allow time to internalize the change and


make it a habit

People can only absorb so much change at An organization can tolerate more change
one time if it is spread out

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COMMUNICATION

Communicate the change


Communication reduces anxiety

Tells people what is going on

What will change

What wont change

How they can contribute

How success will be measured

Studies have shown that a message must be given


multiple times in multiple ways to ensure that it is
received

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GUIDELINES FOR EFFECTIVE COMMUNICATION

Listen carefully Step back


Be open and patient to hear the entire story before Take a break if the tension gets too great
counter-arguing Think about issues privately
Be courteous Temporarily put aside issues
Be aware of offensive phrases and gestures Table the issue for offline resolution
Step-by-step agreement Focus the work
Take small, focused steps to accomplish agreement Examine what a person does rather than the
and avoid backsliding persons character
Progress check Focus on solving the problem, not changing the
Include periodic checks to ensure the goal is being person
reached Empathize
Refocus Honor the other persons position
Define the issue in a different way Maintain objectivity
Take a different approach Focus on the facts and issue, not personal feelings

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TRAINING

Ensure that training covers the full scope of individuals with roles in
the process

Training is important for learning and supporting new behaviors

DMM training

Process training

Tool training

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MEASUREMENT

Define how success will be measured If it moves, measure it

Remember measurement drives behavior If it doesnt move, measure it, and call it a constant

Measure what you want changed

You get what you measure

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REPORT PROGRESS

Provide the following


Objective indication of status

Basis for observing trends

Formal communication between the project and management

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BUILDING & SUSTAINING CAPABILITY

Building new capabilities Sustaining new capabilities


Support new and existing processes as they change Manage priorities, commitments, and accountability

Support change activity itself Share learning and knowledge

Demonstrate value early and often Recognize success and reinforce new behaviors

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REINFORCEMENT

Reinforce new positive behaviors

Plan how to deal with resistance

Positive reinforcement is more effective


than negative reinforcement

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REINFORCEMENT
EXAMPLES

Communicate Attend Presentations/Seminars


01

Reward new behaviors
Penalize non-participation 04 Entire team, not just leaders

Recognition Conferences
02 Company newsletters
05 Attendance

De facto reward system Public praise


03


Monitored by individuals in organization
Little attention paid to process if rewards
only given to those working on projects
Do not reward projects that deliver work but
06


Lunch with senior/executive management
Mentoring by leadership team member
Visits by senior/executive manager to offer
praise
disregard process
Cooperation and active support of middle
management is critical

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REINFORCEMENT
MORE EXAMPLES

Communicate displeasure Publish


01


Noncompliance
Mentor expected behaviors
Stress values, offer explanation, show
restoration
03


Management behavior expectations
Senior manager write column comparing old
to new behaviors
Use specific examples

Publicize Verbal warnings


02 Show management actions towards bad
behaviors 04

Attempt coaching to change behaviors
Reprimand by higher level manager after
continued inappropriate behavior

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KEEPING THE MOMENTUM

Sponsorship Successes Issues Progress reports


Senior management Promote Dont hide Highlight obtained
support is critical Encourage testimonials Increase communication benefits
Need vigilance, steady
pressure, and active visible
support
Funding not enough
What management pays
attention to gets done

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PLANNING ORGANIZATIONAL CHANGE

Define Analyze Identify


change stakeholders Initial action plan

Organization context Roles and individuals Activities and deliverables

Reason for change Involvement Owners

Desired Outcome Impact and reaction Effort

Expected result

Dependencies

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ADDITIONAL RESOURCES

o CMMI V2.0 Front Matter

o CMMI Implementation Guidance

o Organizational Change Management


Where can I
o Organizational Behavior
learn more?
o Organizational Development

o Process Improvement

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MODULE 1.17

Final Wrap-Up
REVISIT COURSE OBJECTIVES & GOALS

By the end of this course, you will understand how to complete the following tasks:
Understand how to leverage best practices of CMMI

Demonstrate understanding of how to leverage the CMMI model to help avoid or reduce the impact of an issue

Evaluate impact of a process improvement activity

Demonstrate an understanding of how persistence and habitual sustainment of processes is achieved

Lets look at our learning objectives checklists:


Any last questions?
Met

Partially Met

Not Met

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COMPLETION
CRITERIA

Successful completion of this course requires that you satisfy the following
requirements:
Address all prerequisites
Present pre-course assignment to the class
Attend all course sessions
Participate in discussions, quizzes, and exercises

You will receive a course certificate upon successful completion.

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INDIVIDUAL FEEDBACK

Bring your course objectives self-evaluation

Facilitator has evaluated your written assignment


based on objectives

Your written assignment and course participation


will be discussed

If objectives have not been met, facilitator will


work with you to define a remediation plan to
recommend to CMMI Institute

When feedback is complete, you may leave or


return to the classroom to visit with peers

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PROFESSIONAL EXAM PRE-REQUISITES

The instructor will also notify CMMI


Partially Met/Met
Institute regarding the status of
May request a new assignment and rewrite it once
your written assignment

Met Not Met


Will receive permission to take the Professional May retake the course
Exam (included in cost of class)

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COURSE COMPLETING & PROFESSIONAL CERTIFICATION

Upon passing the exam, you will become a certified CMMI


Professional

You will also meet a primary pre-requisite for advanced


CMMI Certification Courses

More information about the certification and access to the


exam can be found at

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CMMI TRAINING
Expert CMMI Course Series:
Mastering Organizational Capability
CMMI Lead Appraisers, CMMI Instructors

Advanced CMMI Course Series:


Advancing Organizational Capability
CMMI Professionals, CMMI Implementers and Project Leads

Introductory CMMI Course Series:


Building Organizational Capability
Anyone Interested in Improving Organizational Performance, Appraisal Team Members

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CMMI CERTIFICATION
MASTERING Organizational Capability
CMMI Lead Appraiser*
CMMI Instructor*

ADVANCING Organizational Capability:


Certified CMMI Professional*

BUILDING Organizational Capability


Certified CMMI Associate

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Link update?
HOW CAN YOU STAY INFORMED?

To get more information about CMMI, visit these links:

CMMI web page: http://cmmiinstitute.com


ROI - Organizations using CMMI: http://cmmiinstitute.com/who-uses-cmmi
FAQs: http://cmmiinstitute.com/faq
Appraisals: http://cmmiinstitute.com/cmmi-appraisals/
Certifications: http://cmmiinstitute.com/certifications
Training: http://cmmiinstitute.com/training

When in doubt, contact CMMI Institute: info@cmmiinstitute.com

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COURSE EVALUATION Link update?

Please complete the course evaluation using the link provided: (insert url).

Please make every effort to complete the survey during the last few moments of
class. It takes about 5-10 minutes and may be taken from your laptop, tablet, or
mobile phone.

We value and use your feedback!

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Sign up for individual feedback on your written assignment
MODULE 1.18

Special Topics
Facilitator or participant provided materials