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 CareerResearch 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 ActivitiesQuality and Process Engineering, Project and Risk Management, Audit / Assessment Services

Organizational Development.

„Drive

change

actively!“

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

Page 4

“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

Page 5

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 2008Process 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 2009An Engineering Process Group organization (EPG) organization was established

EPG is the central driver of improvements

Feb 2009External 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 Tuesday, June 3, 2014 Company Confidential10

SPI Road Map

tAug 09 Dec 09Okt 09 Apr 10 Dec 11Jan 10 Jan 11 Jun 11

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

Realize PilotDeploy

Assess

PM

Measurment & Analyse

QA

CM

Improve

QA

Improve

Requirements

EngineeringImprove

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 commonAssessment/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 Architecture29 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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