T1 PRE Introduction to TIPA Assessment Approach en ISO20000 v1.2

© Centre de Recherche Public Henri Tudor 2009 1

TIPA Process Assessment and Improvement

Process Assessment and Improvement

Speaker04/11/23

Presentation Outline

<TIPA Service Provider>

Process Assessment Approach Steps Features Process Models Process Maturity Levels Assessment interview

Assessment Results

Improvement Preparation

2© Centre de Recherche Public Henri Tudor 200904/11/23


<TIPA Service Provider>

Presentation

04/11/23

Presentation of <TIPA Service Provider>



Process Assessment Approach with ISO/IEC 15504

04/11/23

TIPA assessment

Phases of the Assessment project


procedures

guides / instructions

Process

Input

Output

Process purpose

Process expected results

Activities

Roles and responsibilities

Control points

Process measurement

7

Process

© Centre de Recherche Public Henri Tudor 200904/11/23

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Process Assessment Features (1/2)

A structured process assessment method supported by the ISO/IEC 15504 standard ISO standard: an international initiative of experts consensus Proven Process assessment method Objectivity and confidentiality Repeatability

Easy comparison between assessment results Clear description of the processes to be assessed : process

models PRM: Process Reference Model PAM: Process Assessment Model

The focus is on the “What”, not on the “How”


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Process Assessment Features (2/2)

A structured process assessment method supported by the ISO/IEC 15504 standard Process Maturity levels Rating scale

Not / Partially / Largely / Fully Clear way of presenting results Usable for any business domains and any type of organization Compatibility with other standards

E.g. with ISO 9000


Process Assessment Process

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Process Reference Model- Domain & Scope- Process Purpose- Process Expected Results

Process Reference Model- Domain & Scope- Process Purpose- Process Expected Results

Measurement Framework- Maturity Levels- Process Attributes- Rating scale

Measurement Framework- Maturity Levels- Process Attributes- Rating scale

Process Assessment Model-Scope- Indicators- Mapping- Translation

Process Assessment Model-Scope- Indicators- Mapping- Translation

ASSESSMENT PROCESSPreparationAssessment

AnalysisReportingClosure

ASSESSMENT PROCESSPreparationAssessment

AnalysisReportingClosure

Roles & Responsibilities-Sponsor- Lead assessor- Assessor(s)

Roles & Responsibilities-Sponsor- Lead assessor- Assessor(s)

Output- Date- Assessment input- Identification of evidence- Assessment process used- Process profiles- Additional information

Output- Date- Assessment input- Identification of evidence- Assessment process used- Process profiles- Additional information

Initial input- Purpose- Scope- Constraints- Identities- Approach- Assessor competence criteria- Additional information

Initial input- Purpose- Scope- Constraints- Identities- Approach- Assessor competence criteria- Additional information

04/11/23 © Centre de Recherche Public Henri Tudor 2009

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ISO/IEC 15504 Key Elements Relationships

PROCESS

PROCESS IMPROVEMENT

CAPABILITYDETERMINATION

can lead to

leads to

identifiessuitability of

identifieschanges to

ASSESSMENT

is subject to

leads to


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Assessment Uses

Two contexts of use for assessment results Process improvement (internal)

To identify strengths and weaknesses to target improvement To measure the improvement

Comparison with previous assessment results

Capability determination (internal/external) To support provider selection according to business goals and

customer requirements To analyse and control risks


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Assessment for Improvement

Assessment is part of an improvement approach Assessment goals

Have a check-up Identify strengths and weaknesses of assessed processes Identify whether assessed processes achieve their expected results

Results based on a rating scale Bottom-up approach Voluntary and participative approach Initialisation of an improvement program

Audit (vs. Assessment) Audit goal: check compliance to a standard Control approach Binary results: OK or KO Top down approach

The improvement approach is based on an assessment The quality of the improvement program depends on your honesty and your

collaboration during the assessment


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PRM Content PRM = Process Reference Model

Domain and scope description

For each process A Purpose

The high level objectives of performing the process

Expected results Observable and measurable results of process Necessary and sufficient to demonstrate successful achievement

of the process purpose Can be:

Artefact Significant changes of state Compliance to specified constraints, requirements

Relationships between processes


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Process Reference Model:ISO20000 IT Service Management


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Example of Process Description in a PRM (Incident Management)

Process purpose The purpose of Incident Management process is to restore agreed service to

the business as soon as possible or to respond to service requests.

Process expected results: As a result of successful implementation of the Incident Management process:

1. An Incident Management Strategy is defined;

2. Incidents are recorded, prioritized, classified, updated along their life cycle, resolved and closed;

3. Major incidents are identified, classified and managed in a particular way;

4. Customer is kept informed of their incidents or service request progress and, if necessary, of the service level breaches;

5. Service levels are managed by agreeing an action with the customer in cases of service level breach;

6. Service requests are handled in the same way as incidents;

SO1. Involved staff have access to relevant information;

SO2. Procedure is defined and adopted to manage incident and their business impact;

SO3. Major incidents are classified and managed according to a procedure;


Process Maturity Levels

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IncompleteThe process is not implemented or fails to achieve its purpose

PerformedThe process is implemented and achieves its process purpose

ManagedThe process is managed and work products are established, controlled and maintained

EstablishedA defined process is used and based on a standard process

PredictableThe process is enacted consistently within defined limits

OptimizingThe process is continuously improved to meet relevant current and projected business goals

1 PERFORMED (Informal) 1.1 Process Performance

2 MANAGED (Planned and monitored) 2.2 Work Product Management2.1 Performance Management

3 ESTABLISHED (Well defined) 3.2 Process Deployment3.1 Process Definition

4 PREDICTABLE (Quantitatively managed)

4.2 Process Control4.1 Process Measurement

5 OPTIMIZING (Continuous Improvement)5.2 Process Optimization5.1 Process Innovation

0 INCOMPLETE

Inst

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e v

iew

Org

aniz

atio

n vi

ew


Process Maturity Levels (1/3)

Level 0 INCOMPLETE The process is not implemented, or fails to achieve its process

purpose At this level there is little or no evidence of any systematic

achievement of the process purpose

Level 1 PERFORMED The implemented process achieves its process purpose The process achieves its defined expected results Process activities are performed, but the process is not really

monitored and repeatable The results of the process often depend on “heroes” The “process performance” is assessed



Level 2 MANAGED The performed process is now implemented in a managed fashion:

performance of the process is planned, monitored and adjusted Its work products are appropriately established, controlled and

maintained There is no coherence checks from an organizational point of view.

Each team can achieve the expected results in a different way. The “process performance management” and the “work product

management” features are assessed

Level 3 ESTABLISHED The managed process is now implemented using a defined process

that is capable of achieving its process expected results A standard definition of the process is established Institutionalised deployment of the process: it is used and known by

everyone The “process definition” and the “process deployment” features are

assessed


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Level 4 PREDICTABLE The established process now operates within defined limits to achieve

its process expected results. Measurement results are used to ensure that performance of the

process supports the achievement of relevant process performance objectives in support of defined business goals.

The process is quantitatively managed to produce a process that is stable, capable, and predictable within defined limits.

The organization is able to identify and correct the causes of the variations of the process

The “process measurement” and the “process control” features are assessed

Level 5 OPTIMIZING The predictable process is continuously improved to meet current and

projected business goals. Innovative ideas and technologies are used to improve the process

The “process innovation” and the “process optimisation” features are assessed


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PAM ContentProcess Assessment Model

Application scope Description of the context of use for the process model Selection of processes from PRMs Description of relationships between processes Selection of capability levels to be assessed

Measurable components enabling process assessment Components specific to each process

Base practices, Work products Generic components : the ISO/IEC 15504 measurement

framework Process Maturity levels Process attributes Generic practices, generic work products Rating scale and system


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Example of Process Description in a PAM (1/3)

(This part is copied from the PRM, see slide 16)

Process purpose The purpose of Incident Management process is to restore agreed service to

the business as soon as possible or to respond to service requests.

Process expected results:

1. An Incident Management Strategy is defined;

2. Incidents are recorded, prioritized, classified, updated along their life cycle, resolved and closed;

3. Major incidents are identified, classified and managed in a particular way;

4. Customer is kept informed of their incidents or service request progress and, if necessary, of the service level breaches;

5. Service levels are managed by agreeing an action with the customer in cases of service level breach;

6. Service requests are handled in the same way as incidents;

SO1. Involved staff have access to relevant information;

SO2. Procedure is defined and adopted to manage incident and their business impact;

SO3. Major incidents are classified and managed according to a procedure;


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Example of Process Description into a PAM (2/3)

Base practices (this part is specific to the PAM) RES.1.BP1: Establish incident management strategy. Define an incident

management strategy including the scope of the incident management and the definition of a major incident. [Expected Result 1, 3]

RES.1.BP2: Detect and record the incident. (...) [Expected Result 2]

RES.1.BP3: Classify the incident. (...) [Expected Result 2, 3]

RES.1.BP4: Handle the Service Request. (...) [Expected Result 6]

RES.1.BP5: Prioritize the incident. (...) [Expected Result 2, 3]

RES.1.BP6: Escalate incident when needed. (...) [Expected Result 2]

RES.1.BP7: Implement incident resolution. (...) [Expected Result 2]

RES.1.BP8: Track and record incident progress. (...) [Expected Result 2, 3, 4]

RES.1.BP9: Communicate to customer. (...) [Expected Result 4]

RES.1.BP10: Agree an action plan when needed. (...) [Expected Result 5]

RES.1.BP11: Close the incident. (...) [Expected Result 2]

RES.1.SP1: Keep access to incident knowledge. (...) [Expected Result SO1]

RES.1.SP2: Define incident management procedures. [Expected Result SO2, SO3]


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Example of Process Description in a PAM (3/3)


Assessment in Practice

Minimum 2 assessors

Interview key people One or two interviewees without hierarchical relationship

Process instances to be assessed

Evidences Collect documents before the assessment and give them to assessors

Process maturity determination Based on process attributes rating (Not, Partially, Largely, Fully)

In case of improvement objectives Identification of improvement opportunities: impact and importance Interviews focused on both process assessment and identification of

best practices


Interview in practice

Duration depends on the number of processes to be assessed, usually about 1.5 hours per process

Presentation of the processes that will be assessed

Reminder of confidentiality rules

Handing over of documents prepared for the interview

For each process, questions about Base practices : core business Generic practices : activity planning, documents management,

process description, training…

Identification of improvement opportunities

Conclusion

Feedback form about the interview


Assessment Key Success Factors

Have a clearly identified sponsor

Be aware of the strategic objective of the improvement project People are involved in the assessment to build together an effective

working environment

Be involved The improvement plan depends on the collected information All collected information is agglomerated Best practices are highlighted

Keep in mind that a process assessment is not an assessment of individual achievements

Ensure the anonymity and confidentiality of interviews

Make necessary resources and persons available



Process Assessment Results

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ISO/IEC 15504 advantages

ISO/IEC 15504 provides a general framework to assess process maturity

ISO/IEC 15504 intends to measure If the process purpose is achieved If processes are able to support the business goals, by

assessing the measure of the extent to which they are : Managed (planned, etc.) Established (used in the same way by everybody) Predictable In constant optimisation

ISO/IEC 15504 provides a roadmap to process improvement Process descriptions Generic practices, generic work products


Process/Organizational Maturity

2 notions Process Maturity (capability)

Each process is observed individually

Organizational Maturity (maturity) Each process is considered Results for all processes are combined to measure/reach the

maturity for the whole organization Processes are grouped by level In order to improve, we focus first on basic processes: foundations We cover then more complex processes ISO/IEC 15504 part 7 standard is in progress


Elements to measure improvement

Process maturity level Measure the level reached by the process/the organization Consolidation of the rating of sub-items

Rating scale - Measure each item with a linear percentage scale Process purpose Process expected results Typical practices Typical Documents

The scale is calibrated using four points N Not, P Partially, L Largely, F Fully

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0% 15% 16% 50% 51% 85% 86% 100%

Not Achieved

Partially Achieved

Largely Achieved

Fully Achieved

N P L F


Moving up levels

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Level 1 Level 1 Level 1 Level 1

Level 2 Level 2 Level 2

Level 3 Level 3

Level 4

Reaching Level 2

Reaching Level 3

Reaching Level 4

Reaching Level 5

Fully

Reaching Level 1

Level 3

Level 2

Level 1

Level 4

Level 5

Largely or Fully


Assessment Results (1/2)

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Level 1Performed

Process Performance

Performance Management

Work Product Management

Process Definition

Process Deployment

Process Measurement

Process Control

Process Innovation

Process Optimisation

Process1 F F L P N

Process2 P N P N N

Process3 F L L L P

Process4 L P P N N

Process5 F F F L P

Legend Rates

"Fully" F Not Assessed "Largely" L

"Partially" P

"Not" N

Level 1Performed

Level 2Managed

Level 3Established

Level 4Predictable

Level 5Optimising

Process1 R R U NA NA

Process2 U U U NA NA


Process4 R U U NA NA


Legend

Level 5Optimising

Process Assessment at XXX

Level 2Managed

Level 3Established

Level 4Predictable

Process Assessment at XXX

Level reached

Level not reached

Not Assessed


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Assessment Results (2/2)

Assessment report Executive summary Overall analysis For each assessed process

Process Maturity profile Strengths-Weaknesses-Opportunities-Threats analysis (SWOT) Detailed analysis of the assessment results

For improvement context Recommendations for process improvements Ideas for an improvement action plan

Presentations to the management and to the interested parties « Executive summary » Meeting to present results



Improvement Preparation

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Collaborative Structuring of Improvement Actions

Propositions for improvement structured in an improvement project

Collaborative approach to prepare the improvement plan Objectives and strategy Main improvement lines Classification and prioritisation of the improvement actions Building of an improvement plan composed of improvement projects

Importance of actors involvement for change management


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Current State

Internal Communication

Standardized use of tools

Processes, activities, work-products, actors, guides, templates

Communication

Organization for Quality

Quality Control Initiatives

Risk management

Resources Estimation

Business Plan

…

Time

Process Maturity Levels

Operational improvements

Setup of the project framework

Organizational acceptance

Specific and targeted improvements

1 to 3 months

3 to 6 months

9 to 15 months

Example of Action Plan


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Questions… and Answers !

Thank you for your attention


T1 PRE Introduction to TIPA Assessment Approach en ISO20000 v1.2

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