implementation of internal quality audits in a large...

CONFIDENTIALCONFIDENTIALCONFIDENTIALCONFIDENTIAL

Produced by: Information Technology / KFQMDate: February 2006

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IMPLEMENTATION OF INTERNAL IMPLEMENTATION OF INTERNAL IMPLEMENTATION OF INTERNAL IMPLEMENTATION OF INTERNAL QUALITY AUDITS IN A LARGE IT QUALITY AUDITS IN A LARGE IT QUALITY AUDITS IN A LARGE IT QUALITY AUDITS IN A LARGE IT ORGANIZATIONORGANIZATIONORGANIZATIONORGANIZATION

Michael K. SteinhMichael K. SteinhMichael K. SteinhMichael K. Steinhööööfel, Petros Matiatosfel, Petros Matiatosfel, Petros Matiatosfel, Petros Matiatos

SOFTWARE & SYSTEMS QUALITY CONFERENCESSOFTWARE & SYSTEMS QUALITY CONFERENCESSOFTWARE & SYSTEMS QUALITY CONFERENCESSOFTWARE & SYSTEMS QUALITY CONFERENCES

Düsseldorf, 11 May 2006


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� Introducing Credit Suisse It's approach to fulfill CMMI process

and product quality assurance requirements

� Presenting the set up challenges and risks

� Showing you the organization deployment

� Sharing lesson learnt with you

Presentation Objectives


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Content

� Company profile

� Development framework

� Internal assessment process

� Organizational deployment

� Operational results

� Lessons learnt


Slide 4

Company ProfileKey facts and figures on Credit Suisse Group� Credit Suisse Group’s registered shares (CSGN) are listed in

Switzerland (SWX) and as American Depositary Shares (CSR) in NewYork (NYSE)

� For the first nine months of 2005, the Group reported net income of CHF 4,747 million

� As of September 30, 2005, the Group reported assets under management of CHF 1,404.6 billion

� Total number of staff: around 62,000

� As of September 30, 2005, BIS tier 1 ratio stood at 11.1%

� Winterthur, the insurance business, is a financial investment ofCredit Suisse Group

� The Group’s long term ratings are: Moody’s Aa3, Standard & Poor’s A, Fitch Ratings AA-


Slide 5

By 30. September 2005, in Bn. CHF

5

2 666

1 882

1 818

1 781

1 453

1 450

1 440

1 405

1 096

1 067

988

785

783

757

676

670

664

659

659

599

UBS

Allianz Group*

State Street

Barclays*

AXA*

Deutsche Bank

Fidelity Investments*

Credit Suisse GroupCredit Suisse GroupCredit Suisse GroupCredit Suisse Group

Vanguard Group*

JP Morgan Chase

Mellon Financial Corp.

ING Group*

Northern Trust

Morgan Stanley

Merrill Lynch

Goldman Sachs

Aviva*

Citigroup

Prudential Financial*

BNP Paribas*

Company Profile Managed Assets


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Company Profile Credit Suisse Group at a glance

Credit Suisse

InvestmentBanking

PrivateBanking

Credit Suisse Group

AssetManagement

Life & Pensions

Winterthur

Non-Life


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CREATE SUCCESS

Business Initiatives

Streamline and disentangle application landscape

Support CS growth strategy

abroad

Maximize the full potential of innovative

banking solutions

IT Priorities

Provide efficient infrastructure within

CSG

Extend global sourcing strategy

Deliver CMMI and OE programs

IT Values

Development Framework IT Priorities


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Optimising5

QuantitativelyManaged

4

Defined

Managed2

Initial1

Project planingProject monitoring and controlSupplier agreement managementRequirements managementConfiguration managementProcess and Product Quality AssuranceMeasurement and Analysis

3

Development Framework CMMI® Model


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Development Framework Process & Product Quality Assurance


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� Coach and Train assessors

� Develop assessment plan

� Coordinate and Communicate

� Track non-compliances

� Report / Escalate

� Prepare for Assessment

� Perform Assessment

� Prepare Assessment Report

� Conduct Debriefing Meeting

� Communicate

Local Assessment Local Assessment Local Assessment Local Assessment Central Assessment Central Assessment Central Assessment Central Assessment Training/SupporTraining/SupporTraining/SupporTraining/Suppor

ca. 100ca. 100ca. 100ca. 100Support

Internal Assessors

(Part Time)

Internal Assessors

(Full Time)

2 Days/M2 Days/M2 Days/M2 Days/M

Internal Assessment ProcessOrganization & Tasks


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Internal Assessment ProcessCycles and their scopes

Regular Cycle (Regular Cycle (Regular Cycle (Regular Cycle (executionexecutionexecutionexecution of assessments of assessments of assessments of assessments onlyonlyonlyonly))))

2005 2006 2005 2006 2005 2006 2005 2006 2007200720072007Jan Feb Mar Apr May June July Aug Sept Oct Nov Dec Jan Feb MarSept Oct Nov Dec

55 5566 66

77 7788 88

99 99

REQMREQMREQMREQMother PAs

PP, PMC, CM, VERPP, PMC, CM, VERPP, PMC, CM, VERPP, PMC, CM, VERother PAs

PP, PMC, CM, VERPP, PMC, CM, VERPP, PMC, CM, VERPP, PMC, CM, VERother PAs

Mock AssessmentClass A Appraisal

SAMSAMSAMSAMother PAs

CM, VER, SAMCM, VER, SAMCM, VER, SAMCM, VER, SAMother PAs

FieldFieldFieldField

Assessment ScopeAssessment ScopeAssessment ScopeAssessment Scope

PoliciesPoliciesPoliciesPolicies

Deployment Delivery Steps


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Your taskas a

InternalAssessor

5. Analyze and

Report

Organization

Process Management

Assessment

Scope, Plan

Internal Assessment Process

1. Develop

Assessment Plan

Assessment Report

Assessment Findings

Lessons learned

Improvement Proposal

3. Conduct

Assessment

2. Prepare

Assessment Cycle

Noncompliances4. Resolve

non-compliances

Assessment

Require-

ments

Assessment

Kit

CS IT

Organization

6. Monitor and

Escalate

Project Management

Internal Assessment ProcessContext Diagram


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IT PLIT PLIT PLIT PL

SectorSectorSectorSector

SubSubSubSub----DepartmentDepartmentDepartmentDepartment

DepartmentDepartmentDepartmentDepartment

CIOCIOCIOCIO

Assessment

6 weeks

3 weeks

3 weeks

3 weeks

1st Escalation 2nd Escalation 3nd Escalation Last Escalation

Internal Assessment ProcessEscalation Procedure


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Field Training

(3 days)

CMMI Model Training

(2-3 days)

Basic Training for Internal Assessors

(2 days)

Ass

esso

r T

rain

ing

on P

A X

Internal Assessor

Organizational DeploymentTraining Concept

Ass

esso

r T

rain

ing

on P

A Y


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Understand the CMMI principles

�This course describes the fundamentals of model-based process

improvement

�Illustrates the benefits of process improvement

�Introduces CMMI model content

CMMI Model Training

(2-3 days)

Organizational Deployment Step 1: CMMI Model Training


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Understand the assessment principles and perform first steps

� Internal Assessment as Quality Management Instrument

� Understanding our internal assessment process

� Required interview techniques

� Soft skills and assessment culture

� Checklists for assessors

� Demonstrations and role-play exercises

Basic Training for Internal Assessors

(2 days)

Organizational Deployment Step 2: CMMI Basic Training for Assessors


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Train to conduct assessments on real projects

� Field Trainings:Field Trainings:Field Trainings:Field Trainings: Participate in two assessment as co-Assessor and

conduct one assessment as Lead Assessor

� Debriefing MeetingDebriefing MeetingDebriefing MeetingDebriefing Meeting with the experiencedthe experiencedthe experiencedthe experienced internal assessor (Coach)

Field Training

(3 days during 3 weeks)

Organizational Deployment Step 3: Field Training for Assessors


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Field Training

(3 days during 3 weeks)

Mo Tu We Th Fr Sa/Su

A1 A2 A3 A4 A5

Coach

Internal Assessor (Co-Assessor)

Internal Assessor (Lead Assessor)


A6 A7 A8 A9 A10


A11 A12 A13 A14 A15

2nd Week2nd Week2nd Week2nd Week 3rd Week3rd Week3rd Week3rd Week1st Week 1st Week 1st Week 1st Week

CoachCoachCoachCoach

TraineeTraineeTraineeTrainee

TraineeTraineeTraineeTrainee

RolesRolesRolesRoles

Organizational Deployment Step 3: Field Training for Assessors


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� Internal Assessors are not influenced in their judgment and give only true information based on assessment evidences. Internal Assessors cooperate in a fair, honest, and sincere way.

� Internal Assessors conduct the assessment objectively, professionally and do not represent conflicting or competing interests.

� Internal Assessors handle information received during an assessment confidentially.

� Internal Assessors follow the internal assessment process and are committed to the communicated assessment scope. Internal Assessors conduct only assessments they are competent to perform.

� Internal Assessors give constructively feed back on strengths and potential for improvements. Internal Assessors share their knowledge to support continuous improvement.

Organizational Deployment Code of Conduct

ConfidentialityConfidentialityConfidentialityConfidentiality

ObjectivityObjectivityObjectivityObjectivity

HonestyHonestyHonestyHonesty

IntegrityIntegrityIntegrityIntegrity

ConstructiveConstructiveConstructiveConstructive

FeedFeedFeedFeed----backbackbackback


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Project scopeProject scopeProject scopeProject scope� Active N+ and N- projects

(international projects excluded)

� Assessment scope identical to Assessment scope identical to Assessment scope identical to Assessment scope identical to previous reporting periodprevious reporting periodprevious reporting periodprevious reporting period

Process scopeProcess scopeProcess scopeProcess scopeCS IT Solution Delivery Policies(effective since 04/05) with specialfocus on� Project Planning� Project Monitoring and Control� Requirements Management

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

REQM PP PMC SAM CM VER PPQA MA TS GOV

Assessment scope: coverage of effective policiesAssessment scope: coverage of effective policiesAssessment scope: coverage of effective policiesAssessment scope: coverage of effective policies

Operational ResultsAssessment Scope


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� Non-Compliance Distribution by Effective Policies

� Number of closed and open Non-Compliances

� Mean Committed Fix Time of Non-Compliance

� Discovered Non-Compliances per Assessment

� Improvement Recommendations on assessed processes

� Assessment effort

� Assessor and Assessee feed back on the internal assessment

process

Operational ResultsMeasures


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� No. of non compliances found so far: 1628162816281628

� No. of open non compliances today: 680 680 680 680 ----> open & rework> open & rework> open & rework> open & rework

� No. of closed non compliances so far: 658658658658

� No. of performed assessments so far: 234234234234

� No. of trained assessors so far: 66666666

� Mean time to fix non compliances at current status: 51,43 days51,43 days51,43 days51,43 days

� No. of identified good practices: 11111111

� No. of process improvement proposals: 8888

Operational ResultsKey figures


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� Involvement of assessor in the definition phase pays out

� Sub department heads as assessors give high degree of credibility

� Cross departmental assessments foster knowledge transfer

� Intensive training and coaching of internal assessors pays out

� A good combination of assessment know how and

organizational/technical experience increases the quality of the

assessment process

� Transparent assessment rules for the Project Manager and the

internal Assessor speed the process execution

� Process improvement requires commitment of senior management

Lessons learnedPractices to follow


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� Not to have a clean project portfolio before you start the process

� Manual central administration of internal assessments

� Not having a central resource availability plan up front

Lessons learnedPractices to avoid


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Q&A

implementation of internal quality audits in a large...

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