Using Models to Drive Process
Improvement
Kurt D. Roudabush, PMP
CMQ/OE, CQE, CQA, CSQE
Where are we going?
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Why?
How?
Is there something better?
Where are we going?
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Why?
How?
Is there something better?
Experience That Is Too Common
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A 2-year process improvement
effort is completed
Quickly or slowly, but steadily it
begins to fade away
A year or so later there is little
evidence anything was done!
Why Do Organizations Most Often Do
Process Improvement?
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Follow the leader - Everyone else is
doing it
A champion - An executive heard
about it or read about it somewhere
A prod - A customer demands it
A cause – If we don’t do something,
we won’t survive
Why Should Organizations Do Process
Improvement?
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As a means to achieve
organizational goals/objectives
derived from strategic plans.
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Always maintain the link to the
goals/objectives and strategies
If you don’t, the process improvement
effort will not survive an economic
downturn or the loss of the key sponsor
Think “Programme Management”
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My advice to organizations used to be to
treat process improvement efforts as a
project
This may not give enough emphasis to
critical success factors
Programme management is about tying
the improvement effort to the
goals/objectives and ensuring that the
process capabilities developed return
measurable results.
For more info, google “OGC Managing
Successful Programmes”
Where are we going?
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Why?
How?
Is there something better?
Lots Of Ways To Do “It”?
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SPC
TQM
ISO
6 Sigma
CMMI/SPiCE
Lean
Lean/6 Sigma
Other
Define “Models”
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What do you think
of when you hear
the word “Model”?
Presidential Citizen’s Medal
- Awarded to U.S. citizens
who have performed
exemplary deeds or
services for his or her
country or fellow citizens
Process Improvement Models
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Definition - A model is a collection of
process elements and practices that can
be used as a pattern for process
development and a criteria against which
a process can be assessed objectively.
Some examples:
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ISO 9001
CMMI (Capability Maturity Model Integrated)
MBNQA (Baldrige Award)
ISO 15504 (SPiCE)
“Approaches”?
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Definition - An approach is any
methodology or system of tools that
is been used to guide problem
solving, management, etc.
Some examples:
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TQM
6-Sigma
Lean
Look at Models/Approaches
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Each one developed to:
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Address a certain principle
Resolve a certain issue
ISO 9001
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Requirements:
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4. Quality management system
5. Management responsibility
6. Resource management
7. Product realization
8. Measurement, analysis and
improvement
Focus in practice is usually on
establishing foundational processes
and being able to “Fly the Flag”.
Should be used for much more.
CMMI
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Process areas
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Level 2
Managed
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Level 3
Defined
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Level 4
Quantitatively Managed 
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Level 5
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Optimizing
5 Maturity Levels
22 Process Areas
Specific Goals
Specific Practices
Generic Goals
Generic Practices
Requirements Management
Project Planning
Project Monitoring and Control
Supplier Agreement Management
Measurement and Analysis
Project and Process Quality Control
Staged Representation
Configuration Management
Continuous Representation
Requirements Development
Technical Solution
Product Integration
Verification
Validation
Organizational Process Focus
Focus is on
Organizational Process Definition +IPPD
Organizational Training
Product
Integrated Project Management + IPPD
Development
Risk Management
Process Maturity
Decision Analysis and Resolution
Organizational Process Performance
Quantitative Project Management
Organizational Innovation and Deployment
Causal Analysis and Resolution
MBNQA (and MQLA)
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7 Categories (1,000 pts. Total)
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Focus is on
Business
Excellence
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Leadership (120 pts.) – Sr. leaders, governance, ethics
Strategic Planning (85 pts.) – Strategic objectives, action
plans, deployment
Customer and Market Focus (85 pts.) – Customer,
customer, customer
Measurement, Analysis, and Knowledge Management (90
pts.) – Data availability/usage/ communication,
systematic performance improvement
Workforce Focus (85 pts.) – High performance, alignment,
capability, capacity
Process Management (85 pts.) – Core competencies, work
systems, customer value, sustainability
Results (450 pts.) – Outcomes, performance, process
effectiveness, customer-focused, financially-focused,
workforce-focused, leadership driven
SPiCE (ISO/IEC 15504)
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European answer to CMMI
Process Reference Model (PRM) and
Process Assessment Model (PAM)
Domain specific (e.g. Automotive
SPiCE – software development only
for the auto industry)
Focus on process maturity and
continuous improvement with
customization to specific
domains.
ISO/IEC 15504 (SPiCE)
Supporting Life Cycle Processes
Primary Life Cycle Processes
Acquisition Process Group
S
ACQ.1 Acquisition preparation
S
ACQ.2 Supplier selection
S A ACQ.3 Contract agreement
S A H ACQ.4 Supplier monitoring
S
ACQ.5 Customer acceptance
A ACQ.11 Technical requirements
A ACQ.12 Legal & Admin requirements
A ACQ.13 Project requirements
A ACQ.14 Request for proposals
A ACQ.15 Supplier qualification
Engineering Process Group
Support Process Group
S A ENG.1 Requirements elicitation
S A H ENG.2 System requirements analysis
S A H ENG.3 System architectural design
S A H ENG.4 Software requirements analysis
S A H ENG.5 Software design
S A H ENG.6 Software construction
S A H ENG.7 Software integration
S A H ENG.8 Software testing
S A H ENG.9 System integration
S A H ENG.10 System testing
S
ENG.11 Software installation
S
ENG.12 Software & System Maintenance
S A H SUP.1 Quality assurance
S A SUP.2 Verification
S
SUP.3 Validation
S A SUP.4 Joint Review
S
SUP.5 Audit
S
SUP.6 Product evaluation
S A SUP.7 Documentation
S A H SUP.8 Configuration management
S A H SUP.9 Problem resolution management
S A H SUP.10 Change request management
Supply Process Group
Operation Process Group
SA
SA
S
S
S
SPL.1 Supplier tendering
SPL.2 Product release
SPL.3 Product acceptance support
OPE.1 Operational use
OPE.2 Customer support
Organizational Life Cycle Processes
Process Improvement Group
Management Process Group
Resource & Infrastructure Process Group
S
MAN.1 Organizational alignment
S
MAN.2 Organizational management
S A H MAN.3 Project management
S
MAN.4 Quality management
S A MAN.5 Risk management
S A MAN.6 Measurement
S
S
S
S
RIN.1 Human resource management
RIN.2 Training
RIN.3 Knowledge management
RIN.4 Infrastructure
S
S
SA
PIM.1 Process establishment
PIM.2 Process assessment
PIM.3 Process improvement
Reuse Process Group
S
SA
S
REU.1 Asset management
REU.2 Reuse program management
REU.3 Domain engineering
Automotive SPiCE (European Auto
Mfrs.)
Supporting Life Cycle Processes
Primary Life Cycle Processes
Acquisition Process Group
S
ACQ.1 Acquisition preparation
S
ACQ.2 Supplier selection
S A ACQ.3 Contract agreement
S A H ACQ.4 Supplier monitoring
S
ACQ.5 Customer acceptance
A ACQ.11 Technical requirements
A ACQ.12 Legal & Admin requirements
A ACQ.13 Project requirements
A ACQ.14 Request for proposals
A ACQ.15 Supplier qualification
Engineering Process Group
Support Process Group
S A ENG.1 Requirements elicitation
S A H ENG.2 System requirements analysis
S A H ENG.3 System architectural design
S A H ENG.4 Software requirements analysis
S A H ENG.5 Software design
S A H ENG.6 Software construction
S A H ENG.7 Software integration
S A H ENG.8 Software testing
S A H ENG.9 System integration
S A H ENG.10 System testing
S
ENG.11 Software installation
S
ENG.12 Software & System Maintenance
S A H SUP.1 Quality assurance
S A SUP.2 Verification
S
SUP.3 Validation
S A SUP.4 Joint Review
S
SUP.5 Audit
S
SUP.6 Product evaluation
S A SUP.7 Documentation
S A H SUP.8 Configuration management
S A H SUP.9 Problem resolution management
S A H SUP.10 Change request management
Supply Process Group
Operation Process Group
SA
SA
S
S
S
SPL.1 Supplier tendering
SPL.2 Product release
SPL.3 Product acceptance support
OPE.1 Operational use
OPE.2 Customer support
Organizational Life Cycle Processes
Process Improvement Group
Management Process Group
Resource & Infrastructure Process Group
S
MAN.1 Organizational alignment
S
MAN.2 Organizational management
S A H MAN.3 Project management
S
MAN.4 Quality management
S A MAN.5 Risk management
S A MAN.6 Measurement
S
S
S
S
RIN.1 Human resource management
RIN.2 Training
RIN.3 Knowledge management
RIN.4 Infrastructure
S
S
SA
PIM.1 Process establishment
PIM.2 Process assessment
PIM.3 Process improvement
Reuse Process Group
S
SA
S
REU.1 Asset management
REU.2 Reuse program management
REU.3 Domain engineering
HIS (basically German Auto Mfrs.)
Scope
Supporting Life Cycle Processes
Primary Life Cycle Processes
Acquisition Process Group
S
ACQ.1 Acquisition preparation
S
ACQ.2 Supplier selection
S A ACQ.3 Contract agreement
S A H ACQ.4 Supplier monitoring
S
ACQ.5 Customer acceptance
A ACQ.11 Technical requirements
A ACQ.12 Legal & Admin requirements
A ACQ.13 Project requirements
A ACQ.14 Request for proposals
A ACQ.15 Supplier qualification
Engineering Process Group
Support Process Group
S A ENG.1 Requirements elicitation
S A H ENG.2 System requirements analysis
S A H ENG.3 System architectural design
S A H ENG.4 Software requirements analysis
S A H ENG.5 Software design
S A H ENG.6 Software construction
S A H ENG.7 Software integration
S A H ENG.8 Software testing
S A H ENG.9 System integration
S A H ENG.10 System testing
S
ENG.11 Software installation
S
ENG.12 Software & System Maintenance
S A H SUP.1 Quality assurance
S A SUP.2 Verification
S
SUP.3 Validation
S A SUP.4 Joint Review
S
SUP.5 Audit
S
SUP.6 Product evaluation
S A SUP.7 Documentation
S A H SUP.8 Configuration management
S A H SUP.9 Problem resolution management
S A H SUP.10 Change request management
Supply Process Group
Operation Process Group
SA
SA
S
S
S
SPL.1 Supplier tendering
SPL.2 Product release
SPL.3 Product acceptance support
OPE.1 Operational use
OPE.2 Customer support
Organizational Life Cycle Processes
Process Improvement Group
Management Process Group
Resource & Infrastructure Process Group
S
MAN.1 Organizational alignment
S
MAN.2 Organizational management
S A H MAN.3 Project management
S
MAN.4 Quality management
S A MAN.5 Risk management
S A MAN.6 Measurement
S
S
S
S
RIN.1 Human resource management
RIN.2 Training
RIN.3 Knowledge management
RIN.4 Infrastructure
S
S
SA
PIM.1 Process establishment
PIM.2 Process assessment
PIM.3 Process improvement
Reuse Process Group
S
SA
S
REU.1 Asset management
REU.2 Reuse program management
REU.3 Domain engineering
TQM
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"TQM is a management approach
for an organization, centered on
quality, based on the participation
of all its members and aiming at
long-term success through
customer satisfaction, and benefits
to all members of the organization
and to society." ISO 8402:1994
Focus is in involving everyone and all
aspects of the business in problem solving.
6-Sigma
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Six Sigma is a disciplined, datadriven approach and methodology
for eliminating defects (driving
towards six standard deviations
between the mean and the nearest
specification limit).
DMAIC (problem solving approach)
Specialists – black belts and green
belts
Focus on eliminating sources of
error/variation with emphasis on
the financial impact.
Lean
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A practice that considers the
expenditure of resources for any
goal other than the creation of
value for the end customer to be
wasteful, and thus a target for
elimination.
Focus on
cutting
waste
Where are we going?
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Why?
How?
Is there something better?
Pros and Cons
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What are your goals/objectives and
strategies?
What’s your SWOT look like?
What are your “Pain Points”?
What do your customers
want/demand?
What is your corporate culture?
Why do we put blinders on?
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Is your organization the same as
that of the developers of any of
these models?
Do your needs match theirs?
It’s easy to take what worked for
them and apply it (as is) in your
organization – We don’t have to
think! No analysis required!
Does it make sense?
Toolboxes
Match Process Improvement Methods
to Needs
Model/Approach
Focus
ISO 9001
Usually establishing foundational
processes and being able to “Fly
the Flag”
CMMI
Product Development Process
Maturity
MBNQA
Business Excellence
SPiCE
Process maturity and continuous
improvement with customization
to specific domains.
TQM
Involving everyone and all
aspects of the business in
problem solving.
6-Sigma
Eliminating sources of
error/variation, emphasis on the
financial impact.
Lean
Focus on cutting waste
How Can the Organization Realize the
Greatest Benefit?
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Good - Which of the models/ approaches
seems to be the best fit or already has a
champion?
Better – What combination of elements
from them will give the strongest/quickest
benefits short term?
Best – How is the choice going to help us
reach our goals/objectives, achieve our
goals long term?
How do you decide?
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What methods would you suggest?
Look at things like decision matrix,
force field analysis, mind maps, etc.
Conclusions
1.
Program Management –
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2.
Don’t get hung up on one
methodology
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3.
Strategies  Process Improvement 
Outcomes
Don’t just “Study to the test”
Think “toolboxes”
Look at the needs/benefits
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Stop focusing on the model/approach
They are just tools
Final Recommendation
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Remember Deming’s 1st Point
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“Constancy of purpose”
Roudabush (plagiarized) paraphrase “Keep On, Keepin’ On!”