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Process Management Guidebook
SPAWAR System Center PACIFIC
DRAFT
Version 0.02
November 2008
Prepared by:
Corporate Strategy Team
SSC PAC Process Management Guide
DRAFT 11/25/08
REVISION HISTORY
This table is used to record revisions to this process document. For each revision, the date,
author, document revision (same as version number on the cover), and change or changes should
be noted on the chart.
Date Author Revision Change
DOCUMENT CONTROL INFORMATION
This table is used to record document control information for this document. This document can
be found at the location indicated in the “Stored” column. Any comments or suggestions relating
to it should be directed to the Document Owner. Cite the Document ID in all correspondence.
Document Owner Document Approver Stored Retention Disposition
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QUICK START GUIDE
This guide serves as a ready reference for the Process Management Lifecycle (PML). Table 1
summarizes major phases. It is intended to be used as a memory jogger for experienced users.
Detailed flowcharts and instructions can be found in Section 2. Error! Reference source not
found.Figure 1 shows the symbols used in process flow charts within this document.
Table 1: PML Major Phases
Action Explanation
When the need for a new, changed, or retired process is identified, a
Process Change Request (PCR) needs to be submitted to the
requestor’s first line supervisor.
The Corporate Process Management team will support triage efforts
prior to submission to ensure the requirement is fully stated and the
Process Proposal
need isn’t already being addressed by another effort. The impact level
is also determined during triage which determines the level of review
and approval prior to development.
The request is then reviewed and approved at the appropriate level and
moves into the appropriate development path.
Any process proposal that is assigned a Center-level impact is required
Steering Committee Review to be presented to the Steering Committee for development,
improvement, or retirement.
If a development effort is approved, the assigned process engineer will
manage the development of the proposed process effort. This requires
gathering information from all relevant SMEs, documenting the
process flows and details using the Process Toolkit, obtaining
implementation approval signatures from the process owner, and
Process Development
submitting the completed package to the PCCB for post-development
review.
If the effort is approved as a LSS event, the assigned Green Belt is
defined as the process engineer and is responsible for executing the
LSS event according to Center policies and guidelines.
The requestor, process engineer, and approving authority review the
submitted process package for completeness and compliance with SSC
Product Review
Pacific process standards. Any discrepancies will be noted and
returned for modification and resubmission.
Based on a successful review and approval, the implementation plan
(as defined during the development phase) is executed. This may
Process Implementation
include submission to a repository for access by process users,
conducting training and distributing communication.
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TABLE OF CONTENTS
QUICK START GUIDE ............................................................................................................ III
1. INTRODUCTION..............................................................................................................1
1.1 Background ..............................................................................................................1
1.2 Purpose.....................................................................................................................1
1.3 Scope ........................................................................................................................1
1.4 Governing Policy .....................................................................................................2
1.4.1 Assumptions.................................................................................................2
1.4.2 Business Rules .............................................................................................2
1.5 Roles and Responsibilities .......................................................................................2
1.6 Related References...................................................................................................2
2. INTRODUCTION TO PROCESS MANAGEMENT ....................................................3
2.1 Process Levels ..........................................................................................................3
2.2 Process Flow Symbols & Definitions ......................................................................4
3. PROCESS MANAGEMENT LIFECYCLE ...................................................................5
3.1.1 Process Components ....................................................................................7
3.2 If needed...................................................................................................................7
4. JOB AIDS ....................................................... ERROR! BOOKMARK NOT DEFINED.7
4.1 Process Toolkit..................................................... Error! Bookmark not defined.7
4.2 Context Diagram ......................................................................................................8
4.3 Flowchart Diagram ..................................................................................................8
4.4 Process Book ............................................................................................................9
APPENDIX A: PROCESS PROPOSAL REVIEW............................................................ A-1
APPENDIX B: PROCESS DEVELOPMENT .................................................................... B-1
APPENDIX C: PRODUCT REVIEW ................................................................................. C-1
APPENDIX D: GLOSSARY OF TERMS AND ABBREVIATIONS .............................. D-1
APPENDIX E: PROCESS MANAGEMENT CONTROL PLAN .................................... E-1
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LIST OF FIGURES & TABLES
Figure 1: Process Flow Symbol Descriptions ............................ Error! Bookmark not defined.iv
Figure 2: Process Levels ................................................................................................................. 3
Figure 3: Process Flow Symbols .................................................................................................... 4
Figure 4: Process Management Lifecycle Flowchart...................................................................... 5
Figure 5: Context Diagram ............................................................................................................. 9
Table 1: PML Major Phases .......................................................................................................... iii
Table 2: Process Participants ......................................................................................................... 2
Table 3: Process Stakeholders ....................................................................................................... 2
Table 4: Process Management Steps.............................................................................................. 6
Table 5: PML Inputs ....................................................................................................................... 7
Table 6: PML Outputs .................................................................................................................... 7
Table 7: PML Controls/Enablers .................................................................................................... 7
Table 12: Terms and Abbreviations ............................................................................................ D-1
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1. INTRODUCTION
1.1 Background
As SSC Pacific matures, the focus and strategies of process awareness and improvement are
moving toward an integrated, top-down approach. This shift will have a direct impact on process
management, integration and improvements. While the existing attitudes regarding processes
have not historically been a risk to executing our individual roles within SSC PAC, the
segregation and variance we have created due to this attitude is becoming a risk as we move
towards the next phase of organizational maturity, CMMI Level 3.
Building processes across the Government which are standardized, repeatable and eventually
predictable is an extensive undertaking that requires discipline and commitment to excellence.
Not applying this discipline during development results in problems that have to be addressed
during process implementation. Examples include:
Processes lacking clear purpose and focus towards business results
Similar processes with inconsistent approaches
Actions or processes performed many times before succeeding, as opposed to
first-time success
Activities that are not captured
Process goals not stated or not understood
In order to remove process variance and segregation, we must implement a standard process
methodology. The Corporate Process Management Team has been tasked by the Director of
Operations to establish this methodology for process development, standardization, and
management. The intent is to first apply standardization to processes currently under
development while identifying transition opportunities for existing processes.
1.2 Purpose
This document is intended to support the reader in understanding and applying the identified
process development standards. The process engineers chartered with establishing
standardization are using the best commercial practices as a baseline approach with appropriate
modifications to address specific DoD requirements and intricacies. The Process Management
Lifecycle (PML) is a work in progress and will be reviewed on a yearly basis. If needed, it will
be improved to better meet SSC PAC needs using Lean Six Sigma (LSS) or another sanctioned
process improvement tool.
1.3 Scope
The Process Management Lifecycle is specific to SSC Pacific and is applied from when a
process is identified until it is retired. It is designed for and applicable to processes identified as
performing at the Center level. Processes that are defined as “Local” or “Independent” are not
required to use the PML for process management. Definition and criteria used for identification
can be found in xyz.
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1.4 Governing Policy
1.4.1 Assumptions
Resources are available to manage processes according to the PML. Resources may
include human, financial, and technical.
A process baseline is identified and available.
1.4.2 Business Rules
Center-level processes, as defined in Section xyz, must get Steering Committee
approval for development and implementation.
1.5 Roles and Responsibilities
Table 2 lists the roles and responsibilities that are attributed to individuals or groups that
participate within the documented processes while Table 3 lists those who have roles and
responsibilities related to, but not included in the process.
Table 2: Process Participants
Role Responsibility
Table 3: Process Stakeholders
Role Responsibility
1.6 Related References
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2. INTRODUCTION TO PROCESS MANAGEMENT
A process can be defined as a connected series of actions, activities, changes, etc., performed by
agents with the intent of satisfying a requirement or achieving a goal. Metrics are used to
determine compliance with the established goals. If metrics are properly defined and
appropriately applied, they support process control which can be defined as planning and
regulating a process with the objective of performing it in an effective and efficient manner.
A process output must conform to operational requirements that are derived from business
objectives. If a process supports established requirements and it can be repeated, measured, and
managed, it is considered effective. The process is also considered efficient if the activities are
carried out with minimum effort.
2.1 Process Levels
A defined system of process levels provides a logical separation of the many layers within a
process area. This assists in defining terms for better communication regarding processes,
provides a method for controlling standards in process development and training, and assures
clarity for process users when utilizing the product. For the purposes of this document, process
areas for SSC PAC align to the CAO competencies.
Figure 1: Process Levels
Level One – Operational Processes: Competency-level documentation of the standard end-to-
end lifecycle. Describes, at a high level, how the competencies work together to deliver products
and services.
Level Two – Functional Processes: The activities within a self-sustained function. Describes
what takes place over time, with input and a repeatable method, to achieve an expected and
measurable result.
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Level Three – Procedures: Describes the structured, logical steps required to complete a task.
Level Four – Job Aids: The standardized materials required to complete a process or procedure.
They may include work instructions, templates, checklists, forms, etc.
2.2 Process Flow Symbols & Definitions
Process flow symbols are used to depict different actions or data types so that the process user is
able to make general assumptions about each process activity. The process flow symbols
included in Figure 2 meet ISO9001 standards.
Figure 2: Process Flow Symbols
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3. PROCESS MANAGEMENT LIFECYCLE
The Process Management Lifecycle is comprised of the activities that must minimally exist in
the environment to establish controlled process identification, development, change, and
insertion. Without a controlled, repeatable process management lifecycle, organizations within
the environment are left to document and manage processes as time permits and necessity
requires, making process management a collateral duty. This decentralization typically leads to
non-standardized, incomplete, or outdated documentation, making it difficult to integrate
processes for an end-to-end view of the Center’s service delivery lifecycle.
The goal of a process management lifecycle is not to dictate how teams perform their work, but
provide configuration and change control to the documentation, implementation, and
communication of these processes. This model maximizes interoperability by ensuring that
processes across the center, regardless of their origin, are documented using the same standards
and data types.
Figure 3: Process Management Lifecycle Flowchart
The following table describes the PML activities. Those action steps which have been further
detailed can be found as referenced.
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Table 4: Process Management Steps
Action Description
Proposal Development Responsibility: Requestor, Process Owner/Steering Committee
The requestor completes and submits a Process Change Request (PCR) Form, indicating
their request type (add, improve, retire), justification and other pertinent information.
The requestor can request support from a process engineer to complete the PCR form.
The process owner reviews the form to ensure that requested development efforts and
expected results meet organizational goals. If it is determined that the change is
localized, they can accept the proposal and serve as the proposal sponsor. If it is
determined that the process has a Center-level impact, the Steering Committee holds
approval authority. In this case, the requestor or process owner presents the proposal to
the Steering Committee for acceptance.
If the proposal is accepted, then proceed to the Development Path procedure.
If the proposal is not accepted but would be with minor modification, then proceed to the
Modify Proposal step. If the proposal is not accepted for other reasons besides
modifications, the process ends here.
Modify Proposal Responsibility: Requestor
Make changes to the PCR form resulting from the acceptance review. After changes have
been made, return to the Proposal Development phase and resubmitted for review.
Document Process Responsibility: Requestor, Process Engineer (Center-level)
The path followed will depend on the type of development and impact level. The
requestor and the process engineer (if applicable) use the Process Toolkit and the
Development Guidelines found in Appendix xyz to facilitate activities and develop
products.
Product Review Responsibility: Process Engineer, Process Owner/Steering Committee
Review the final product outputs from the development phase. This may include a
process book, training and communication plans, policies and guidelines,
implementation plan, and other associated job aids and products. If the development
effort was local, the process owner has implementation approval authority. If the process
has Center-level impact, the process engineer conducts the review and the Steering
Committee has implementation approval authority.
Products are reviewed for standardization, completeness, quality and applicability to the
organization (local or Center).
If the product is approved for implementation, then proceed to the Implementation Plan
phase.
If the product is not approved because it needs modification, then skip to the Modify
Product step. If the product is not approved for other reasons besides modification, the
process ends here.
Implementation Plan Responsibility: Process Owner
Execute the approved implementation plan and report status to the proposal sponsor.
Changes to scope, schedule and resources are also reported to the process owner and the
Steering Committee (Center-level only). If the implementation activities indicate that
further modifications need to be initiated to the process asset, a new PCR form needs to
be completed and submitted for further development.
Modify Product Responsibility: Requestor, Process Engineer (Center-level)
Make changes to the submitted package as directed during the product review phase.
After changes have been made, return to the Product Review phase.
End The lifecycle ends here.
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3.1.1 Process Components
Table 5: PML Inputs
Input Description Source
Table 6: PML Outputs
Product Name Description Primary Customer(s)
Table 7: PML Controls/Enablers
Name Location Source/Owner
3.2 If needed
Can detail underlying procedures here or as appendices. Need team to decide which is easier to
follow.
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4. PROCESS TOOLKIT
The process toolkit is a collection of all guidelines, tools, and templates used by process owners
and engineers during PML execution. The materials used in the toolkit are applied according to
the detailed instructions in this document. Items proposed for inclusion can be submitted to the
PML Manager (SSC PAC 8.4 Lead) for consideration. The toolkit will be posted to an online
resource, making it available to all employees at SSC Pacific.
4.1 Process Change Request Form
Requests to add, change, or retire Center-level process assets are initiated using the Process
Change Request (PCR) Form. The form serves two purposes. It helps the process owner and
engineer (if applicable) document the purpose, scope and schedule for process development and
implementation to ensure the resulting efforts remain focused. The form also supports process
configuration management by identifying which processes are undergoing changes. This
provides process users visibility into upcoming changes.
4.2 Flowchart Diagram
A flowchart can be accomplished by either a cross-functional (also known as swimlane) or a
non cross-functional diagram.
The cross-functional flowchart is used to depict a separation in the process activities by
responsible party. This also provides a means to display events performed in parallel to each
other with a common end goal in the process.
The non cross-functional flowchart is used for processes that are performed in a successive
manner and don’t require a logical separation when defining the steps within the process.
Insert both flowchart templates here.
4.3 Context Diagram
A context diagram provides a high level view of a function or process and its external influences
and results. It is used to gain a baseline understanding of the process’s environment and
conditions. It is completed by the process engineer during process development working sessions
and includes the topics described below and in Figure 4.
Responsible Process Owner – Person accountable for the successful execution of
the process.
Process Step – This is the focal point of the context diagram. When defining the
Inputs, Outputs, Controls, and Enablers, they should relate specifically to the
Process Step.
Inputs – Any external process or data that directly feeds into and affects the
successful execution of the Process Step.
Outputs – Any product or data that is produced within the Process Step and feeds
into an external process or organization.
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Process Controls – Any persons, policies, or business rules that mandate the
boundaries the Process Step must function within.
Process Enablers – Tools or resources that have a direct impact on the successful
execution of the Process Step.
Figure 4: Context Diagram
Insert context diagram sheet here.
4.4 Process Book
The Process Book is primary product of the Process Development phase. It provides the process
user pertinent information needed for executing the identified process. The Process Book may
include external links, references, etc which guide the user through the process. It can be viewed
as a process map. The Process Book template includes the listed sections, but can be modified to
meet specific needs of an organization.
Quick Start Guide – This section summarizes major process steps and
explanations. It can be used as an overview of the process by experienced users,
managers, or stakeholders who do not wish to reference details within the
document.
Introduction – This section includes the high level characteristics of the process.
Sub-sections include: purpose, scope, governing policies (assumptions and business
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rules), roles and responsibilities, related references, and process metrics and
reporting.
Process – This section includes the process workflow diagrams, process actions and
steps, and process components (inputs, outputs, controls, and enablers). Underlying
processes and procedures are also included in this section, each including their own
flowchart and actions table.
Job Aids – This section identifies the job aids a process user would need to execute
the process steps. Examples of job aids are forms, templates, websites, database,
etc. Each job aid listed should include a description and access information, if
applicable.
Process Book template goes here.
4.5 Implementation Plan
The implementation plan provides the process owner, stakeholders, and users a roadmap to how
the updated process asset will be disseminated throughout the environment. It addresses the
training requirements and methods, communication plan, and metrics proposed. It also includes
schedules, participants and key performance indicators (KPI) as well as a mitigation plan in the
case assumptions are not realized (e.g. lack of resources identified, tools unavailable, etc).
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APPENDIX A: PROCESS PROPOSAL REVIEW
Process stuff here.
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APPENDIX B: PROCESS DEVELOPMENT
Process stuff here.
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APPENDIX C: PRODUCT REVIEW
Process stuff here.
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APPENDIX D: GLOSSARY OF TERMS AND ABBREVIATIONS
The following acronyms are specific to Process Management Lifecycle. Standard Department of
Defense acronyms can be found on the SSC Insider or at the following website:
http://www.dtic.mil/doctrine/jel/doddict/acronym_index.html
Table 8: Terms and Abbreviations
Term/Acronym Definition
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APPENDIX E: PROCESS MANAGEMENT CONTROL PLAN
The goal of executing this process is to control Accountable Property so SSC Pacific can better
manage physical assets, improve asset change management, and increase customer satisfaction
and confidence.
The control plan provides the process owner with a mechanism for assessing the continued
benefit of the process and triggering action if the expected results are not met. The following
activities will ensure that SSC Pacific’s inventory accuracy reaches the DoD regulation standard
of 98% within two triennial cycles (six years).
The audit steps below should commence in May 2009 to ensure that the 2008 Triennial
Inventory has been completed and can be used as a baseline during calculations. The success rate
for each Department is calculated by dividing the number of DD200 forms completed as a result
of the 2008 triennial by the number of its assets and subtracting it by 1.0 (represented as a
percentage). For example, if a Department has 100 assets according to ERP and they filed 30
DD200 forms as a result of the 2008 triennial, their success rate is 70% [1.0-(30/100)].
The following steps are executed during the months of May and November. This schedule
provides the Department Heads approximately 30 days after the performance review cycles in
March and September to consolidate their organization’s inventory reports before initiating an
audit. Individual inventories are primarily done during these review cycles and changes to ERP
can effectively be completed within this time frame.
Note: If a Department is already at a 98% success rate, audits are not required.
Semi-annual audits:
1. Select 25% of ERP records to audit – Conduct the audit at the Department level and
ensure that the sample records include an unbiased representation of all asset types and
Custodians. In other words, it isn’t effective to select all 25% from one lab because this
will not accurately reflect the entire Department’s improvement.
2. Informally sight the assets selected for audit – This activity is best conducted by someone
other than the asset Custodian or someone outside of the Custodian’s chain of command.
If a Department’s assets or supervisory structure do not allow for cross-audits, the
Department should request an independent audit from the Property Inventory Team.
3. Review the audit results and compare to the baseline success rate or to the previous audit
(for all audits after May 2009). Institute the following actions based on the noted results:
If your results are … … then
5% or more improvement since last audit (or baseline) No action required
less than 5% improvement (Dept) Initiate organizational improvement plan
Any decrease in success rate (Custodian) Initiate individual improvement plan
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