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Making Scrum Stick in
Regulated Industries
Laszlo Szalvay & Pat Reed
6 August 2013
Nashville,TN
Room: Bayou C
Some Rights Reserved
http://ScrumAndCompliance.com/
“It’s kind of fun to do the impossible”
Agile Community of Practice
#aboutus
Laszlo Szalvay
Vice President | SolutionsIQ
+1.425.519.6643 Office | +1.971.506.7862 Mobile
Compliance is Top of Mind
To become a mainstream methodology, Agile had to
overcome many potential obstacles. The first was
geography…One of today’s most daunting obstacles is
compliance, often bringing heavyweight documentation,
required procedures that are very waterfall-ish, complex
approval workflows, and complicated approval processes.
July 2011
Forrester Research, Inc.
“Compliance Is A Hurdle, Not A Barrier, To Agile”
Tom Grant, PhD
Quotes from Regulated Industries
Agile is not just a method or a process, it’s a way of being. You don’t do
Agile. You are Agile. The FBI has arranged to load their ScrumMaster to
other teams to get them trained. Increased Transparency has kept
stakeholders in sync. Further, stakeholders would modify their expectations,
based on the increased visibility of the process.
Jack Israel, CTO FBI
With no significant bugs reported…operation nearly flawless – a stunning
and an unpredicted success. What are the implications for failing IT
programs across government?
Roger Baker, CIO VA
Agenda
1. Market Overview
2. Problem Statement
3. Case Study
4. Hands on Exercise
5. BYO Org Patterns
6. Closing
http://bit.ly/SWAwlH
market trends
0%
5%
10%
15%
20%
25%
30%
35%
40%
Regulated
Unregulated
Source: Forrester/Dr. Dobb’s Global Developer Technographics® Survey, Q3 2010
#ProblemStatement
• Ever changing
• More scrutiny due to Sept 2008 crash and general ‘anger’ at Wall Street
(e.g. Occupy Movement)
• Many faces, although for financial vertical Singapore is emerging as a
leader (strategic)
• Not familiar with internal corporate vernacular, culture, or even
software development
Compliance is complex
• Singapore sees compliance as a strategic differentiator and
Singaporeans have taken a very taken a very hard position
within the banking industry. As such, they are now seen
as the international standard.
• Complex set of cross-border rules that can be contradictory,
incomplete, or vague
• Have seen this in other industries (e.g. Postal)
• Customs is where the most senior people from DHL,
FedEx, UPS sit
Compliance has emerging leaders
Visual Problem Statement
• 6 cross functional teams of 8 people
(split between NJ, Silicon Valley and Kiev)
• 2 Backlogs
• 6 Product Owners, 1 Uber - PO
(based in London)
• 2 Compliance Officer
(based in Singapore and NYC)
• 2 external compliance mandates
(overlapping jurisdictions, e,g, MAS
and FSOC) Uber PO Compliance
Officers
Dev Teams
#CaseStudy
#CaseStudy
Before Agile can scale, an Agile
accounting standard needs to be
developed to enable CFO’s to understand
and leverage one of the most quantifiable
and compelling benefits of Agile software
development.
Mandatory SOP 98-1 and
ASC 350-40 Guidelines
– Prescribe how all organizations must capitalize or expense
internal IT projects based on project stage and type of work
– 3 Stages:
• Preliminary Stage – Costs must be expensed
• Application Development Stage – Most costs should be
capitalized
• Post Implementation Stage – Costs must be expensed
– Capitalization begins when (a) the preliminary project stage is
completed and (b) management, with the relevant authority,
implicitly or explicitly authorizes and commits to funding a
computer software project with high probability of success
and software will be used to perform the function intended
– Capitalization ends no later than the point at which a
computer software project is substantially complete and
ready for its intended use
What’s The Problem?
• To ensure compliance, we must estimate, allocate, track and
report labor costs to internal IT projects based on project
work done in three specific phases: Preliminary, Development
and Post Implementation
• Waterfall projects can readily adapt their labor and project
costing to the guidelines using the following framework:
Preliminary - - - - - - - - Development - - - - - - - - - - - - - Post Implementation - -
Expense vs. Capital
Release
• Feature 1
• Feature 2
• Feature 3
Release N: Theme
Iteration 1 Iteration 2 Iteration 3 Iteration …
• Story 1
• Story 2
• Story 3
• Story 4
• Story 5
• Story 6
• Story 7
• Story 8
• Story 9
• Story 10
R
Backlog Backlog
• Story 1
• Story 2
• Story 3
• Story …
• Story 11
• Story 12
• Story …
Customer Evaluations
Quickstart
Inception Deck
Treatment
Inception:
Design Storming
Expense
Capital
Confidential - Do Not Distribute or Copy
Agile Capitalization
Expense Only Capital and Expense
Quick Start
Treatment & Pre-
project tasks Design Storming It 0
It 1Project
Stages
Cost
allocation
Preliminary Project Application Development
WhatHow
• The Preliminary Project Stage: “What“ (Ends In Inception at the beginning of Design Storming)
• The Development Stage: “How “ (Starts with Design Storming)
• The Post Implementation Stage: “When” (Begins 72 hours after the last production implementation,
when final user acceptance testing and Level 2 support or maintenance handoff is complete)
Releases
Final set of
stories
deployed.
Expense
72 Hrs
Inception
Post
Implementation
Costs can be Capitalized once the “Approval to Start” has been secured and end at the completion of the
Application Development stage when the asset is in production for customer use.
Capitalization Begins Capitalization Ends
…
…
Release
It 2
ReleaseRelease Release Release Release
It nIt 3 It 4
#HandsOnExercise
Hands On Exercise: Navigating an
Amorphous Compliance Issue
Global
Justice XML
Data Model
CFR21
Software
Compliance
Financial Automotive
Please read scenarios and discuss
(12 mins)
Exercise: Navigate Amorphous Compliance Issue
Feedback
(6 mins)
Exercise: Navigate Amorphous Compliance Issue
#BuildYourOwnOrgPatterns
Option One
(a) Bring in external compliance
issues through work items in the
backlog
Risks:
Most external compliance mandates
result in changes to workflow not
work items
Option Two
(a) Automate Changes using
workflow automation tools and
Team picks up changes passively.
Risks:
Give up on the notion of Team
Learning (this can be seen by the
team as anti-agile)
Option Three
Use the Retrospective Meeting to
introduce evolutionary changes to
process. In this case, use the retro
to introduce new compliance
requirements into workflow and the
backlog.
(A) “Mandate changes” from the
Uber PO and Compliance Officer
Risks:
What team self-organization?
Option Four:
Use the Retrospective Meeting to introduce
evolutionary changes to process. In this case,
use the retro to introduce new compliance
requirements into workflow and the backlog.
(B) Let the teams roll out their own, using
potentially disastrous self discovery / learning
exercises
Risks
Huge financial losses
Knight Capital’s stock dropped more than 24% Monday to
close at $3.07 following the announcement of the deal
[rescue package]. The new investment will severely cut
into the value of existing shareholders’ stakes.
http://cnnmon.ie/XKAhqZ
Combo Approach
Option Five:
(a) Designate Compliance SME on each team,
born from Q/A who coordinates around
workflow with the CCO office
(b) Introduce governance standards that are
rolled out at the program level which are
digested / constructed / deconstructed in
the retro meeting meaning evolutionary
changes to existing workflow and process
Risks
Need to grow many compliance SMEs
Language barriers can be an issue
#OpenJam
Join Us Wednesday and Thursday during
OpenJam at 8:30am to Build Your Own
Organizational Patterns
Join http://ScrumAndCompliance.com/ &
submit your Organizational Patterns
#ThankYou!
Pat Reed
preed@ihoriz.com
800 542-8184 x102
Mobile: 650 515-2989
What facilitator needs to bring
• Print offs (BYOrg Patterns & Examples)

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Agile 2013: Pat Reed and I discussing Scrum and Compliance

  • 1. Making Scrum Stick in Regulated Industries Laszlo Szalvay & Pat Reed 6 August 2013 Nashville,TN Room: Bayou C Some Rights Reserved http://ScrumAndCompliance.com/
  • 2. “It’s kind of fun to do the impossible” Agile Community of Practice
  • 3. #aboutus Laszlo Szalvay Vice President | SolutionsIQ +1.425.519.6643 Office | +1.971.506.7862 Mobile
  • 4. Compliance is Top of Mind To become a mainstream methodology, Agile had to overcome many potential obstacles. The first was geography…One of today’s most daunting obstacles is compliance, often bringing heavyweight documentation, required procedures that are very waterfall-ish, complex approval workflows, and complicated approval processes. July 2011 Forrester Research, Inc. “Compliance Is A Hurdle, Not A Barrier, To Agile” Tom Grant, PhD
  • 5. Quotes from Regulated Industries Agile is not just a method or a process, it’s a way of being. You don’t do Agile. You are Agile. The FBI has arranged to load their ScrumMaster to other teams to get them trained. Increased Transparency has kept stakeholders in sync. Further, stakeholders would modify their expectations, based on the increased visibility of the process. Jack Israel, CTO FBI With no significant bugs reported…operation nearly flawless – a stunning and an unpredicted success. What are the implications for failing IT programs across government? Roger Baker, CIO VA
  • 6. Agenda 1. Market Overview 2. Problem Statement 3. Case Study 4. Hands on Exercise 5. BYO Org Patterns 6. Closing http://bit.ly/SWAwlH
  • 7. market trends 0% 5% 10% 15% 20% 25% 30% 35% 40% Regulated Unregulated Source: Forrester/Dr. Dobb’s Global Developer Technographics® Survey, Q3 2010
  • 9. • Ever changing • More scrutiny due to Sept 2008 crash and general ‘anger’ at Wall Street (e.g. Occupy Movement) • Many faces, although for financial vertical Singapore is emerging as a leader (strategic) • Not familiar with internal corporate vernacular, culture, or even software development Compliance is complex
  • 10. • Singapore sees compliance as a strategic differentiator and Singaporeans have taken a very taken a very hard position within the banking industry. As such, they are now seen as the international standard. • Complex set of cross-border rules that can be contradictory, incomplete, or vague • Have seen this in other industries (e.g. Postal) • Customs is where the most senior people from DHL, FedEx, UPS sit Compliance has emerging leaders
  • 11. Visual Problem Statement • 6 cross functional teams of 8 people (split between NJ, Silicon Valley and Kiev) • 2 Backlogs • 6 Product Owners, 1 Uber - PO (based in London) • 2 Compliance Officer (based in Singapore and NYC) • 2 external compliance mandates (overlapping jurisdictions, e,g, MAS and FSOC) Uber PO Compliance Officers Dev Teams
  • 13. #CaseStudy Before Agile can scale, an Agile accounting standard needs to be developed to enable CFO’s to understand and leverage one of the most quantifiable and compelling benefits of Agile software development.
  • 14. Mandatory SOP 98-1 and ASC 350-40 Guidelines – Prescribe how all organizations must capitalize or expense internal IT projects based on project stage and type of work – 3 Stages: • Preliminary Stage – Costs must be expensed • Application Development Stage – Most costs should be capitalized • Post Implementation Stage – Costs must be expensed – Capitalization begins when (a) the preliminary project stage is completed and (b) management, with the relevant authority, implicitly or explicitly authorizes and commits to funding a computer software project with high probability of success and software will be used to perform the function intended – Capitalization ends no later than the point at which a computer software project is substantially complete and ready for its intended use
  • 15. What’s The Problem? • To ensure compliance, we must estimate, allocate, track and report labor costs to internal IT projects based on project work done in three specific phases: Preliminary, Development and Post Implementation • Waterfall projects can readily adapt their labor and project costing to the guidelines using the following framework: Preliminary - - - - - - - - Development - - - - - - - - - - - - - Post Implementation - -
  • 16. Expense vs. Capital Release • Feature 1 • Feature 2 • Feature 3 Release N: Theme Iteration 1 Iteration 2 Iteration 3 Iteration … • Story 1 • Story 2 • Story 3 • Story 4 • Story 5 • Story 6 • Story 7 • Story 8 • Story 9 • Story 10 R Backlog Backlog • Story 1 • Story 2 • Story 3 • Story … • Story 11 • Story 12 • Story … Customer Evaluations Quickstart Inception Deck Treatment Inception: Design Storming Expense Capital
  • 17. Confidential - Do Not Distribute or Copy Agile Capitalization Expense Only Capital and Expense Quick Start Treatment & Pre- project tasks Design Storming It 0 It 1Project Stages Cost allocation Preliminary Project Application Development WhatHow • The Preliminary Project Stage: “What“ (Ends In Inception at the beginning of Design Storming) • The Development Stage: “How “ (Starts with Design Storming) • The Post Implementation Stage: “When” (Begins 72 hours after the last production implementation, when final user acceptance testing and Level 2 support or maintenance handoff is complete) Releases Final set of stories deployed. Expense 72 Hrs Inception Post Implementation Costs can be Capitalized once the “Approval to Start” has been secured and end at the completion of the Application Development stage when the asset is in production for customer use. Capitalization Begins Capitalization Ends … … Release It 2 ReleaseRelease Release Release Release It nIt 3 It 4
  • 19. Hands On Exercise: Navigating an Amorphous Compliance Issue Global Justice XML Data Model CFR21 Software Compliance Financial Automotive
  • 20. Please read scenarios and discuss (12 mins) Exercise: Navigate Amorphous Compliance Issue
  • 21. Feedback (6 mins) Exercise: Navigate Amorphous Compliance Issue
  • 23. Option One (a) Bring in external compliance issues through work items in the backlog Risks: Most external compliance mandates result in changes to workflow not work items
  • 24. Option Two (a) Automate Changes using workflow automation tools and Team picks up changes passively. Risks: Give up on the notion of Team Learning (this can be seen by the team as anti-agile)
  • 25. Option Three Use the Retrospective Meeting to introduce evolutionary changes to process. In this case, use the retro to introduce new compliance requirements into workflow and the backlog. (A) “Mandate changes” from the Uber PO and Compliance Officer Risks: What team self-organization?
  • 26. Option Four: Use the Retrospective Meeting to introduce evolutionary changes to process. In this case, use the retro to introduce new compliance requirements into workflow and the backlog. (B) Let the teams roll out their own, using potentially disastrous self discovery / learning exercises Risks Huge financial losses Knight Capital’s stock dropped more than 24% Monday to close at $3.07 following the announcement of the deal [rescue package]. The new investment will severely cut into the value of existing shareholders’ stakes. http://cnnmon.ie/XKAhqZ
  • 27. Combo Approach Option Five: (a) Designate Compliance SME on each team, born from Q/A who coordinates around workflow with the CCO office (b) Introduce governance standards that are rolled out at the program level which are digested / constructed / deconstructed in the retro meeting meaning evolutionary changes to existing workflow and process Risks Need to grow many compliance SMEs Language barriers can be an issue
  • 28. #OpenJam Join Us Wednesday and Thursday during OpenJam at 8:30am to Build Your Own Organizational Patterns Join http://ScrumAndCompliance.com/ & submit your Organizational Patterns
  • 30. What facilitator needs to bring • Print offs (BYOrg Patterns & Examples)