Using CMMI Process Management Practices to Build and Maintain a QMS

1 © 2017 Natural SPI
Using CMMI Process
Management Practices to
Build and Maintain a QMS

Question?
What does ISO 9001, AS9100, or
TL9000 have to say about QMS
development and maintenance?

Almost nothing.
Answer …
From AS9100D (inclusive of ISO 9001:2015) Section 0.3 Process
Approach (not a requirement), we get a 40-year-old process
model and PDCA.

However ...
Answer …
The CMMI provides two process areas (OPF and
OPD) and 14 practices for the establishment of a
persistent organization-level process definition,
deployment, and management focus.
So here’s what I’ve learned and used
from these good practices …

7 Rules for Designing and Developing Process
Processes that work are designed and built by applying
these rules:
1. All performance improvement comes from the performed process, not
the defined process.
2. Know what problem you’re solving before you begin developing or
improving your processes.
3. The process is the product.
4. Design and build processes for the process users.
5. Compliance – with standards or models – is not necessarily the same
as quality or improvement.
6. Plan and manage process development as a project.
7. Process information and data exists in only one place.

Know What Problem You’re Trying to Solve 1
If I had an hour to save the world, I
would spend 59 minutes defining the
problem … and one minute finding
solutions.
- Albert Einstein

People
Organization as a System of Systems
Process
Technology
A modern organization
is an integrated system
of systems: people
(social) system,
technology systems, and
process systems.
If we have a problem to
solve or a performance
goal to achieve, we
need to first determine
which of these systems
most needs improving.

Example of a
flawed RCA:

How we know it’s
flawed:
X
X
X

A logical RCA:

In a system of systems, changes or improvements cannot be made to one
system without collateral changes to the other systems.
Relationship between improving people to improving Process and Technology

Relationship between improving people to improving Process and Technology
Relationship between improving Technology to improving People and Process

Relationship between improving Process to improving People and Technology

Estimating the Return On Process (ROP)
ROP = Value of Performance Gain – Cost of Improvement
Value of Performance Gain = Value of future performance (post improvement) –
Value of current (baseline) performance
Cost of Improvement = Cost of improvement effort + cost of technology
investment + cost of training, implementation and
institutionalization of change.

Paradigm Shift: The Process is a Product
What am I? I …
1. Am complex and have many integrated subsystems and parts.
2. Have hundreds of high-level requirements or user stories.
3. Need to provably comply with international industry standards.
4. Have dozens of interfaces.
5. Need to be designed before being built.
6. Need to be built according to the design.
7. Can and should be verified against requirements or user stories.
8. Can and should be tested at the modular/unit level and system level.
9. Can and should be planned and managed using proven project
management practices.

Process System Requirements and Users 1
Just like a product or a technology system, a modern
process system can have hundreds of high-level
requirements including:
1. User requirements (user stories or use cases)
2. Functional requirements
3. Interface requirements
4. Compliance requirements
5. “Ilities” requirements

Designing and building a process system for its users
means defining requirements or user stories that:
1. Define user preferences for ingesting information and acting
appropriately
2. Incorporate users’ learning modalities: reading, watching,
doing
3. Incorporate the range of user and potential user knowledge,
skill, and experience in performing the process
4. Defines not only what users want in the process, but also
not defining what they don’t want

Develop and maintain requirements and user stories that can be
used to design and build processes that satisfy the “ilities.” To what
extent can we make the process:
 Adoptable
 Adaptable
 Maintainable
 Extensible
 Scalable
 Testable
 Measurable
 Auditable
See Ilities definitions

Process Improvement Project Management 1
Process Development Project Management involves:
1. Adopting the paradigm that developing enterprise processes should be
treated as a “project” that is delivering a complex process “system”
2. Establishing and maintaining the process system requirements
3. Manage the process development project using project plans:
a. Project Management Plan
b. Development Environment Plan
c. WBS-Schedule
d. Risk Management Plan
e. Data Management Plan
f. Measurement Plan
g. Stakeholder Involvement Plan
h. Quality Assurance Plan
i. Training and Knowledge Transfer Plan
j. Structured Decision Plan

Process Improvement Project Management 2
Process Improvement Project Management involves:
4. Regular project team meetings for status against plans, risk
management, and lessons-learned
5. Peer reviews to verify process designs and builds against
requirements
6. Periodic and event-driven project reviews with sponsors and
leadership
7. Phase-gate reviews with criteria for move-forward decisions
8. Collecting, analyzing, and reporting rocess performance
measures/metrics

Domain Knowledge/Experience
Knowledge of and experience in the environment in which the
processes are deployed.
Information Mapping or Process Modeling
Training and experience in modeling processes and in information
structuring and classification.
Models and Standards Knowledge
In-depth understanding of models and standards used to guide
processes (e.g., the CMMI).
The Process Development Project Team 1
Process Development Knowledge, Skills, Experience

Process Improvement Project Management
Knowledge and experience in applying project management
techniques to process improvement work. Skill in estimating and
planning process definition work, and skill in tracking, monitoring,
and measuring against the plans.
Communication and Presentation
New and revised processes need to be communicated and trained
to users. This requires strong interpersonal and communication
skills. Public speaking or presentation skills are also important.
Process Definition Tool Expertise
Extensive training and knowledge in the effective use of the tools
used to develop the process assets (e.g., MS Office products). Also
tools and systems used to manage and control process assets.
Process Development Knowledge, Skills, Experience (continued)

Process Project Roles
Process Project Manager (Sprint or Scrum Lead if Agile)
Manages process improvement project (one release of a process system) including
process design and definition work.
Process Requirements Analyst (User or Product Owner if Agile)
Role responsible for eliciting, gathering, and analyzing the project’s or organization’
performance goals, requirements and user stories for processes and process
improvement.
Process Designer
Role responsible for designing process assets based on requirements. Validates
process design using use cases, operational scenarios, or prototypes. Facilitates
make v. buy and reuse decisions.
Process Developer
Role responsible for developing and defining process assets and/or revising
existing assets.

Process Configuration and Data Management
Person/group responsible for establishing and maintaining integrity of PI project
data items and tools, and for CM and DM of process assets being developed and
released.
Process Tester
Person/group responsible for verifying and/or validating developed process assets.
Role plans and implements process verification and validation activities such as
peer reviews, walk-throughs, pilots, and simulations. Role documents, reports, and
tracks to closure process asset defects.
Process Project Quality Assurance
Role responsible for assuring PI project and process definition activities are
performed in compliance with plans. Also objectively evaluates PI project work
products to assure compliance with applicable organizational standards and
procedures.
Process Project Roles (continued)

Process Project Sponsors (Product Owner in Agile)
Individual or group responsible for authorizing PI project and allocating required
resources to process design and definition work.
Process User/SME
Process users are individuals and organizations who implement the process
assets in their software, system, or acquisition organizations.
Process Customer
Process customers are people or organizations who provide requirements to the
PI project and who sometimes fund PI work. They may also be beneficiaries of
the results of process performance and improvement.
Process Project Roles (continued)

Development Team
• Defines process requirements
• Develops process architecture
• Defines process asset standards
• Designs/defines PAL
PI Project Team
• Plans PI project
• Monitors and controls PI project
• Defines process release strategy
• Collects, analyzes, and reports PI
project performance measure
• Defines and coordinates integrated
team
Review/Test Team
• Peer reviews process assets
• Pilots/test process assets
• Reports process defects and tracks to
closure
Change Control Board
• Reviews/approves changes to assets
• Establishes process asset change
control
• Defines process asset release
baselines
Release/Implementation Team
• Plans/coordinates process releases
• Trains processes and assets to users
• Measures and reports implementation
results
Integrated
team
approach
to process
definition
and
delivery
Process
Customers
Processes &
Process Assets

www.susannemadsen.com 27
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#PMSummit 28
? THANK YOU
Michael@naturalspi.com
http://www.naturalspi.com/
linkedin.com/in/michael-west-3b0812
435-901-4295

Using CMMI Process Management Practices to Build and Maintain a QMS

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