Internal audits and assessments were conducted at SVOX using Enterprise SPICE to help drive process improvements. Enterprise SPICE provided practices that could be used to assess processes at Capability Level 1 and monitor work products and process performance at Level 2. First experiences found Enterprise SPICE useful for many areas but weak in sales, marketing, finance, and portfolio management. Some processes required more granularity and clearly defined relationships. The assessments identified improvement actions and provided a means for continual process updates beyond external audits alone.

1. Internal Audits and
Assessments with help of
Enterprise SPiCE
Thorsten Hinken,
Ernest Wallmüller
May 2010

2. 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.
„Drive
change
actively!“
Ernest Wallmüller - www.itq.ch
Page 2

3. 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
Page 3

4. 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.”

5. 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

6. Key Markets and Products
Page 6
Mobile Devices
Mobile handsets
Mobile applications
Personal navigation
Command and control
Automotive
Navigation systems
Infotainment systems
Head units
Hands-free car kits

7. Customers & Deployments
Page 7

8. 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
Page 8

9. 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
Page 9

10. SPI IMPROVE09 Presentation Tuesday, June 3, 2014 Company Confidential10
SPI Road Map
t
Aug 09 Dec 09Okt 09 Apr 10 Dec 11Jan 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

11. 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
Page 11
ISO 9001:2000/2008 Principal Results

12. QMS Process Architecture 2010
Page 12

13. 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
Page 13

14. 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!
Page 14

15. 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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16. 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
Page 16

17. Current Enterprise SPICE Architecture
29 Processes in 3 Categories
Page 17

18. 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
Page 18

19. 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
Page 19

20. 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
Page 20

21. Means to support the internal Audits / Improvements
Page 21

22. Example of an Audit Checklist for the HR Process
Page 22

23. 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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24. 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
Page 24

25. 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
Page 25

26. Q & A
Page 26