Internal Audits and Assessments with help of Enterprise SPiCE

Thorsten Hinken, Ernest Wallmüller

May 2010

Education Thesis in computer science (Informatik), J. Kepler University, Linz, Austria; habilitation in business information system, author of several books Researcher and lecturer at the Swiss Federal Institute of Technology, University Zurich and Salzburg ISO 9001:2008, Baldrige-, EFQM-, TPI-, CMMI-Assessor, iNTACS certified Principal Assessor for Automotive SPICE & ISO/IEC 15504 membership in IEEE, ACM, WIF, GI, SI, and Software Test Austria.

Professional Career Research and development in the area of software engineering at J. Kepler University, Linz, Austria and at the Swiss Federal Institute of Technology (ETH) Zurich, Switzerland; Manager at SBG (UBS) Zurich; Senior Consultant at ATAG Ernst & Young in CH, A, D, and UK; Principal, Process Coach and Manager of Project Quality Office and Quality Systems at Unisys (Schweiz) AG; CEO and Senior Consultant of Qualität & Informatik, Zurich since 1997.

Key Activities Quality and Process Engineering, Project and Risk Management, Audit / Assessment Services Organizational Development.

Ernest Wallmüller - www.itq.ch

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Agenda

• SVOX and the way to quality and processes • The challenge of a modern QMS • Why Enterprise SPICE and internal Audits? • First Experiences with Enterprise SPICE •  Summary •  Q & A

ACKNOWLEDGMENTS Linda Ibrahim

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SVOX Vision

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“In the future, it will be possible to communicate with any device as if it were a human being, with flexible and open speech dialog being a key component of a multi-modal user interface.”

SVOX Company Overview

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"  Founded in 2000 as university spin-off "  Privately held, headquartered in Zurich, Switzerland, offices in Germany, USA and

Japan "  About 100 permanent employees plus more than 100 local language experts "  World‘s experts in Speech Technology

Key Markets and Products

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Mobile Devices "  Mobile handsets

"  Mobile applications

"  Personal navigation

"  Command and control

Automotive "  Navigation systems

"  Infotainment systems

"  Head units

"  Hands-free car kits

Customers & Deployments

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SVOX and the Way to Quality and Processes 1

"   Jan 2008 - Oct 2008 "  Process based management system implemented "  Internal audit process started "  First measurements implemented

"   Okt 08 "  External certification audit by SQS Schweiz "  ISO 9001 based QMS certification successfully completed

"   Jan 2009 "  An Engineering Process Group organization (EPG) organization was established "  EPG is the central driver of improvements

"   Feb 2009 "  External Automotive SPICE assessment by Kugler Maag CIE

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SVOX and the Way to Quality and Processes 2

"   Process and Quality initiative, called IMPROVE, started in 2009 based on Automotive SPiCE for the project business

"  Capability Level 1 for all HIS relevant processes till 8.12. 2009 checked by an external assessment

"  in several R & D and PS projects "  Central measurement plan implemented

"  Capability Level 2 until the end of 2010 for all projects in Research and Professional Services

"  Still under work "  Roll out of all relevant processes to all units till end of June 2010

"  Capability Level 3 achievement will be started in JAN 2011 for all projects in Research and Professional Services

"  Board decision "  Optionally with a new tool infrastructure

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SPI IMPROVE09 Presentation Mittwoch, 26. Mai 2010 Company Confidential 10

SPI Road Map

t Aug 09 Dec 09 Okt 09 Apr 10 Dec 11 Jan 10 Jan 11 Jun 11

Wave 1 - 2009 Wave 2 - 2010 Wave 3 - 2011/12

Realize Pilot Deploy Assess

PM

Measurment & Analyse

QA

CM

Improve

QA

Improve

Requirements Engineering Improve

QA 2

Improve

Improve

Improve

Improve

Improve

Improve

Improve

Test

Ext. Assessment

Dec

SPI Project Management & Communication

GAP Analysis Assessment

Report

Ext. Assessment

SPI Set up

The Way to Maturity Level 3

SVOX - Why a Management System?

"   Idea was to showing up how SVOX works within its business

"   Defining the way of working

"   Fulfilling the ISO 9001 Criteria's

"   Establish a improvement mechanism

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ISO 9001:2000/2008 Principal Results

QMS Process Architecture 2010

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Risks and Possible Drawbacks of ISO 9001

"  Very general model

"  Process model behind is too week for a modern international company that has to fulfill different governance and compliance requirements

"  No good or best practice orientation

"  No maturity level offered

"  Improvement cycle is strongly based on and triggered by external audits

"  Promoting ISO 9001 as a standard is sometimes unhelpful. People focuses often too narrowly and incorrectly on the requirements clauses

ISO 9001 certification of a fish wholesaler in Tsukiji

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The Heart of Quality and Improvement

!  We need to think about what happens !  between external audits, which is where !  all the work of continual improvement !  is done!

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Why Enterprise SPICE and Internal Audits/Assessments?

"   Internal Audits / Assessments are necessary because of "  improvement process, "  ISO 9001 recertification and "  more value for money

"   Enterprise Spice and Automotive SPICE have a lot of things in common "  Assessment/Measurement model "  base practices for real improvements "  generic practices for more maturity "  same capability levels

"   Consequences: It was the desire of higher management to have a similar improvement model such as Automotive SPICE for business processes and to make improvements based on good and best practices.

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Possible Benefits of Enterprise SPICE

•  Single Unified Model: no need to use many separate standards/models •  Pick and Choose: select areas relevant to the business •  Authoritative and Robust: from widely recognized standards and

sources, with mapping to sources •  Comprehensive: broad, expanding, range of disciplines

•  Synergized: each source contributes important perspectives •  Reduced Costs: for training, improvement, assessment,

simultaneous ratings/certification vs. one model •  Enhanced Effectiveness: via integrated guidance,across the enterprise •  Certification: certification services from accredited bodies

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Current Enterprise SPICE Architecture 29 Processes in 3 Categories

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Goals of the Improvement Initiative

"  Management System especially the management processes have to be updated regularly

"  Corporate Governance should be more in the focus

"  Internal audits should be done in form of mini assessments regularly planned with improvement actions

"  Use a practice oriented model such as Automotive SPICE

"  Pilot Enterprise SPICE with an practicable assessment method

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Project is ..

"   Internal improvement project

"  Supported by QM head

"   Lead by experienced assessor and auditor

"  Enterprise Spice is used for audits and improvement actions for business processes outside the project business

"  Enterprise Spice is evaluated for a further optimal usage

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A Combined ISO 9001 & Enterprise SPiCE Approach

"  Internal and external audits / assessments are planned in an central overall audit / assessment plan:

!  Plan and organize the internal audits (for each business process at least one) !  Check, whether Enterprise SPiCE offers processes that can be used for assessing base

practices (CL1) !  Use these processes and practices as a base line via a checklist

!  Before performing the audits send the interviewees the checklists for preparation reasons

!  Perform the audits on the base of the ISO 9001 requirements and the practices of Enterprise SPiCE

!  Check for each business process planning and monitoring of work products and process performance (CL 2)

!  Derive improvement action based on the practices !  Establish audit reports with improvement action based on practice level

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Means to support the internal Audits / Improvements

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Example of an Audit Checklist for the HR Process

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First Experiences with Enterprise SPICE

"   Enterprise SPiCE is excellent and offers useful practices in "   Integrated Enterprise Management, HR (very helpful)

"   Project Management, Risk Management, Life Cycle (Project) Processes

"   Supporting Processes such as Measurement & Analysis, Process Definition and Improvement, Information Management, Knowledge Management

"   Enterprise Spice is weak in "   Sales & Marketing (Business Rel. Mgt. is too general for both) "   Finance Management and Accounting (missing) "   Product Management (missing), "   Portfolio (Investment Mgt too singular) and Program Mgt (missing)

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General Oberservation with usage of Enterprise SPICE

"  Consistency in the granularity of the processes differs Some processes are so general that they would receive a high level of maturity

even though that may not be warranted e.g. Business Relationship Mgt. BPs have to be at the same level of detail so they can be assessed and process

ratings need to be comparable (and linked through their I/Os)

"  Some process relationships are not detailled defined or missing An enterprise system model should be an interconnected system of processes - some of the processes are identified, at varying levels of detail, and which often have no or only vaguely stated relationships

e.g. Investment management (portfolio management) – project management

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Summary

"   First experiences show that Enterprise SPICE offers a great variety of improvement possibilities

"   It is easy to use in internal audits/assessments via practice checklists

"   Interest of management and process users considerable and large

"   Missing elements in Enterprise SPICE are: !  Sales & Marketing processes / practices !  Finance Management and Accounting !  Product Management, Portfolio and Program management

but alternatives could be: SPM (www.softwareproductmanagement.org) and P3M3/OPM3

"   Some granularity and process relation problems are to solve

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Q & A

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