Organizational Process Focus
A Process Management Process Area at Maturity Level 3
Purpose
The purpose of Organizational Process Focus (OPF) is to plan, implement, and deploy organizational process improvements based on a thorough understanding of current strengths and weaknesses of the organization’s processes and process assets.
Introductory Notes
The organization’s processes include all processes used by the organization and its projects. Candidate improvements to the organization’s processes and process assets are obtained from various sources, including the measurement of processes, lessons learned in implementing processes, results of process appraisals, results of product and service evaluation activities, results of customer satisfaction evaluation, results of benchmarking against other organizations’ processes, and recommendations from other improvement initiatives in the organization.
Process improvement occurs in the context of the organization’s needs and is used to address the organization’s objectives. The organization encourages participation in process improvement activities by those who perform the process. The responsibility for facilitating and managing the organization’s process improvement activities, including coordinating the participation of others, is typically assigned to a process group. The organization provides the long-term commitment and resources required to sponsor this group and to ensure the effective and timely deployment of improvements.
Careful planning is required to ensure that process improvement efforts across the organization are adequately managed and implemented. Results of the organization’s process improvement planning are documented in a process improvement plan.
The “organization’s process improvement plan” addresses appraisal planning, process action planning, pilot planning, and deployment planning. Appraisal plans describe the appraisal timeline and schedule, the scope of the appraisal, resources required to perform the appraisal, the reference model against which the appraisal will be performed, and logistics for the appraisal.
Process action plans usually result from appraisals and document how improvements targeting weaknesses uncovered by an appraisal will be implemented. Sometimes the improvement described in the process action plan should be tested on a small group before deploying it across the organization. In these cases, a pilot plan is generated.
When the improvement is to be deployed, a deployment plan is created. This plan describes when and how the improvement will be deployed across the organization.
Organizational process assets are used to describe, implement, and improve the organization’s processes. (See the definition of “organizational process assets” in the glossary.)
Related Process Areas
Refer to the Organizational Process Definition process area for more information about establishing organizational process assets.
Specific Practices by Goal
SG 1 Determine Process Improvement Opportunities
Strengths, weaknesses, and improvement opportunities for the organization’s processes are identified periodically and as needed.
Strengths, weaknesses, and improvement opportunities may be determined relative to a process standard or model such as a CMMI model or ISO standard. Process improvements should be selected to address the organization’s needs.
SP 1.1 Establish Organizational Process Needs
Establish and maintain the description of process needs and objectives for the organization.
The organization’s processes operate in a business context that must be understood. The organization’s business objectives, needs, and constraints determine the needs and objectives for the organization’s processes. Typically, issues related to customer satisfaction, finance, technology, quality, human resources, and marketing are important process considerations.
The organization’s process needs and objectives cover aspects that include the following:
• Characteristics of processes
• Process-performance objectives, such as time-to-market and delivered quality
• Process effectiveness
Typical Work Products
1. The organization’s process needs and objectives
Subpractices
1. Identify policies, standards, and business objectives that are applicable to the organization’s processes.
2. Examine relevant process standards and models for best practices.
3. Determine the organization’s process-performance objectives.
Process-performance objectives may be expressed in quantitative or qualitative terms.
Refer to the Measurement and Analysis process area for more information about establishing measurement objectives.
Examples of what process-performance objectives may be written to address include the following:
• Customer satisfaction ratings
• Cycle time
• Incident rates
• Productivity
4. Define essential characteristics of the organization’s processes.
Essential characteristics of the organization’s processes are determined based on the following:
• Processes currently being used in the organization
• Standards imposed by the organization
• Standards commonly imposed by customers of the organization
Examples of process characteristics include the following:
• Level of detail
• Process notation
• Granularity
5. Document the organization’s process needs and objectives.
6. Revise the organization’s process needs and objectives as needed.
SP 1.2 Appraise the Organization’s Processes
Appraise the organization’s processes periodically and as needed to maintain an understanding of their strengths and weaknesses.
Process appraisals may be performed for the following reasons:
• To identify processes to be improved
• To confirm progress and make the benefits of process improvement visible
• To satisfy the needs of a customer-supplier relationship
• To motivate and facilitate buy-in
The buy-in gained during a process appraisal can be eroded significantly if it is not followed by an appraisal-based action plan.
Typical Work Products
1. Plans for the organization’s process appraisals
2. Appraisal findings that address strengths and weaknesses of the organization’s processes
3. Improvement recommendations for the organization’s processes
Subpractices
1. Obtain sponsorship of the process appraisal from senior management.
Senior management sponsorship includes the commitment to have the organization’s managers and staff participate in the process appraisal and to provide resources and funding to analyze and communicate findings of the appraisal.
2. Define the scope of the process appraisal.
Process appraisals may be performed on the entire organization or may be performed on a smaller part of an organization, such as a single project or business area.
The scope of the process appraisal addresses the following:
• Definition of the organization (e.g., sites, business areas) to be covered by the appraisal
• Identification of the project and support functions that will represent the organization in the appraisal
• Processes to be appraised
3. Determine the method and criteria to be used for the process appraisal.
Process appraisals can occur in many forms. They should address the needs and objectives of the organization, which may change over time. For example, the appraisal may be based on a process model, such as a CMMI model, or on a national or international standard, such as ISO 9001 [ISO 2000]. Appraisals may also be based on a benchmark comparison with other organizations in which practices that may contribute to improved performance are identified. The characteristics of the appraisal method may vary, including time and effort, makeup of the appraisal team, and the method and depth of investigation.
4. Plan, schedule, and prepare for the process appraisal.
5. Conduct the process appraisal.
6. Document and deliver the appraisal’s activities and findings.
SP 1.3 Identify the Organization’s Process Improvements
Identify improvements to the organization’s processes and process assets.
Typical Work Products
1. Analysis of candidate process improvements
2. Identification of improvements for the organization’s processes
Subpractices
1. Determine candidate process improvements.
Candidate process improvements are typically determined by doing the following:
• Measuring processes and analyzing measurement results
• Reviewing processes for effectiveness and suitability
• Assessing customer satisfaction
• Reviewing lessons learned from tailoring the organization’s set of standard processes
• Reviewing lessons learned from implementing processes
• Reviewing process improvement proposals submitted by the organization’s managers, staff, and other relevant stakeholders
• Soliciting inputs on process improvements from senior management and other leaders in the organization
• Examining results of process appraisals and other process-related reviews
• Reviewing results of other organizational improvement initiatives
2. Prioritize candidate process improvements.
Criteria for prioritization are as follows:
• Consider the estimated cost and effort to implement the process improvements.
• Evaluate the expected improvement against the organization’s improvement objectives and priorities.
• Determine the potential barriers to the process improvements and develop strategies for overcoming these barriers.
Examples of techniques to help determine and prioritize possible improvements to be implemented include the following:
• A cost-benefit analysis that compares the estimated cost and effort to implement the process improvements and their associated benefits
• A gap analysis that compares current conditions in the organization with optimal conditions
• Force-field analysis of potential improvements to identify potential barriers and strategies for overcoming those barriers
• Cause-and-effect analyses to provide information on the potential effects of different improvements that can then be compared
3. Identify and document the process improvements to be implemented.
4. Revise the list of planned process improvements to keep it current.
SG 2 Plan and Implement Process Actions
Process actions that address improvements to the organization’s processes and process assets are planned and implemented.
The successful implementation of improvements requires participation in process action planning and implementation by process owners, those performing the process, and support organizations.
SP 2.1 Establish Process Action Plans
Establish and maintain process action plans to address improvements to the organization’s processes and process assets.
Establishing and maintaining process action plans typically involves the following roles:
• Management steering committees that set strategies and oversee process improvement activities
• Process groups that facilitate and manage process improvement activities
• Process action teams that define and implement process actions
• Process owners who manage deployment
• Practitioners who perform the process
This stakeholder involvement helps to obtain buy-in on process improvements and increases the likelihood of effective deployment.
Process action plans are detailed implementation plans. These plans differ from the organization’s process improvement plan by targeting improvements that were defined to address weaknesses and that were usually uncovered by appraisals.
Typical Work Products
1. The organization’s approved process action plans
Subpractices
1. Identify strategies, approaches, and actions to address identified process improvements.
New, unproven, and major changes are piloted before they are incorporated into normal use.
2. Establish process action teams to implement actions.
The teams and people performing the process improvement actions are called “process action teams.” Process action teams typically include process owners and those who perform the process.
3. Document process action plans.
Process action plans typically cover the following:
• The process improvement infrastructure
• Process improvement objectives
• Process improvements to be addressed
• Procedures for planning and tracking process actions
• Strategies for piloting and implementing process actions
• Responsibility and authority for implementing process actions
• Resources, schedules, and assignments for implementing process actions
• Methods for determining the effectiveness of process actions
• Risks associated with process action plans
4. Review and negotiate process action plans with relevant stakeholders.
5. Review process action plans as necessary.
SP 2.2 Implement Process Action Plans
Implement process action plans.
Typical Work Products
1. Commitments among process action teams
2. Status and results of implementing process action plans
Subpractices
1. Make process action plans readily available to relevant stakeholders.
2. Negotiate and document commitments among process action teams and revise their process action plans as necessary.
3. Track progress and commitments against process action plans.
4. Conduct joint reviews with process action teams and relevant stakeholders to monitor the progress and results of process actions.
5. Plan pilots needed to test selected process improvements.
6. Review the activities and work products of process action teams.
7. Identify, document, and track to closure issues encountered when implementing process action plans.
8. Ensure that results of implementing process action plans satisfy the organization’s process improvement objectives.
SG 3 Deploy Organizational Process Assets and Incorporate Experiences
Organizational process assets are deployed across the organization, and process-related experiences are incorporated into organizational process assets.
The specific practices under this specific goal describe ongoing activities. New opportunities to benefit from organizational process assets and changes to them may arise throughout the life of each project. Deployment of standard processes and other organizational process assets must be continually supported in the organization, particularly for new projects at startup.
SP 3.1 Deploy Organizational Process Assets
Deploy organizational process assets across the organization.
Deploying organizational process assets or changes to them should be performed in an orderly manner. Some organizational process assets or changes to them may not be appropriate for use in some parts of the organization (e.g., because of stakeholder requirements or the current lifecycle phase being implemented). It is therefore important that those who are or will be executing the process, as well as other organization functions (e.g., training, quality assurance), be involved in deployment as necessary.
Refer to the Organizational Process Definition process area for more information about the deployment of organizational process assets, including the support of the organization’s process asset library.
Typical Work Products
1. Plans for deploying organizational process assets and changes to them across the organization
2. Training materials for deploying organizational process assets and changes to them
3. Documentation of changes to organizational process assets
4. Support materials for deploying organizational process assets and changes to them
Subpractices
1. Deploy organizational process assets across the organization.
Typical activities performed as a part of the deployment of process assets include the following:
• Identifying organizational process assets that should be adopted by those who perform the process
• Determining how organizational process assets are made available (e.g., via a website)
• Identifying how changes to organizational process assets are communicated
• Identifying resources (e.g., methods, tools) needed to support the use of organizational process assets
• Planning the deployment
• Assisting those who use organizational process assets
• Ensuring that training is available for those who use organizational process assets
Refer to the Organizational Training process area for more information about establishing an organizational training capability.
2. Document changes to organizational process assets.
Documenting changes to organizational process assets serves two main purposes:
• To enable the communication of changes
• To understand the relationship of changes in the organizational process assets to changes in process performance and results
3. Deploy changes that were made to organizational process assets across the organization.
Typical activities performed as a part of deploying changes include the following:
• Determining which changes are appropriate for those who perform the process
• Planning the deployment
• Arranging for the support needed for the successful transition of changes
4. Provide guidance and consultation on the use of organizational process assets.
SP 3.2 Deploy Standard Processes
Deploy the organization’s set of standard processes to projects at their startup and deploy changes to them as appropriate throughout the life of each project.
It is important that new projects use proven and effective processes to perform critical early activities (e.g., project planning, receiving requirements, obtaining resources).
Projects should also periodically update their defined processes to incorporate the latest changes made to the organization’s set of standard processes when it will benefit them. This periodic update helps to ensure that all project activities derive the full benefit of what other projects have learned.
Refer to the Organizational Process Definition process area for more information about standard processes and tailoring guidelines.
Typical Work Products
1. The organization’s list of projects and the status of process deployment on each (i.e., existing and planned projects)
2. Guidelines for deploying the organization’s set of standard processes on new projects
3. Records of tailoring and implementing the organization’s set of standard processes
Subpractices
1. Identify projects in the organization that are starting up.
2. Identify active projects that would benefit from implementing the organization’s current set of standard processes.
3. Establish plans to implement the organization’s current set of standard processes on the identified projects.
4. Assist projects in tailoring the organization’s set of standard processes to meet their needs.
Refer to the Integrated Project Management process area for more information about establishing the project’s defined process.
5. Maintain records of tailoring and implementing processes on the identified projects.
6. Ensure that the defined processes resulting from process tailoring are incorporated into plans for process-compliance audits.
Process-compliance audits are objective evaluations of project activities against the project’s defined process.
7. As the organization’s set of standard processes is updated, identify which projects should implement the changes.
SP 3.3 Monitor the Implementation
Monitor the implementation of the organization’s set of standard processes and use of process assets on all projects.
By monitoring implementation, the organization ensures that the organization’s set of standard processes and other process assets are appropriately deployed to all projects. Monitoring implementation also helps the organization to develop an understanding of the organizational process assets being used and where they are used in the organization. Monitoring also helps to establish a broader context for interpreting and using process and product measures, lessons learned, and improvement information obtained from projects.
Typical Work Products
1. Results of monitoring process implementation on projects
2. Status and results of process-compliance audits
3. Results of reviewing selected process artifacts created as part of process tailoring and implementation
Subpractices
1. Monitor projects’ use of the organization’s process assets and changes to them.
2. Review selected process artifacts created during the life of each project.
Reviewing selected process artifacts created during the life of a project ensures that all projects are making appropriate use of the organization’s set of standard processes.
3. Review results of process-compliance audits to determine how well the organization’s set of standard processes has been deployed.
Refer to the Process and Product Quality Assurance process area for more information about objectively evaluating processes.
4. Identify, document, and track to closure issues related to implementing the organization’s set of standard processes.
SP 3.4 Incorporate Experiences into Organizational Process Assets
Incorporate process-related work products, measures, and improvement information derived from planning and performing the process into organizational process assets.
Typical Work Products
1. Process improvement proposals
2. Process lessons learned
3. Measurements of organizational process assets
4. Improvement recommendations for organizational process assets
5. Records of the organization’s process improvement activities
6. Information on organizational process assets and improvements to them
Subpractices
1. Conduct periodic reviews of the effectiveness and suitability of the organization’s set of standard processes and related organizational process assets relative to the organization’s business objectives.
2. Obtain feedback about the use of organizational process assets.
3. Derive lessons learned from defining, piloting, implementing, and deploying organizational process assets.
4. Make lessons learned available to people in the organization as appropriate.
Actions may be necessary to ensure that lessons learned are used appropriately.
Examples of the inappropriate use of lessons learned include the following:
• Evaluating the performance of people
• Judging process performance or results
Examples of ways to prevent the inappropriate use of lessons learned include the following:
• Controlling access to lessons learned
• Educating people about the appropriate use of lessons learned
5. Analyze measurement data obtained from the use of the organization’s common set of measures.
Refer to the Measurement and Analysis process area for more information about analyzing measurement data.
Refer to the Organizational Process Definition process area for more information about establishing the organization’s measurement repository.
6. Appraise processes, methods, and tools in use in the organization, and develop recommendations for improving organizational process assets.
This appraisal typically includes the following:
• Determining which processes, methods, and tools are of potential use to other parts of the organization
• Appraising the quality and effectiveness of organizational process assets
• Identifying candidate improvements to organizational process assets
• Determining compliance with the organization’s set of standard processes and tailoring guidelines
7. Make the best of the organization’s processes, methods, and tools available to people in the organization as appropriate.
8. Manage process improvement proposals.
Process improvement proposals can address both process and technology improvements.
The activities for managing process improvement proposals typically include the following:
• Soliciting process improvement proposals
• Collecting process improvement proposals
• Reviewing process improvement proposals
• Selecting the process improvement proposals to be implemented
• Tracking the implementation of process improvement proposals
Process improvement proposals are documented as process change requests or problem reports as appropriate.
Some process improvement proposals may be incorporated into the organization’s process action plans.
9. Establish and maintain records of the organization’s process improvement activities.