Organizational Process Definition
A Process Management Process Area at Maturity Level 3
Purpose
The purpose of Organizational Process Definition (OPD) is to establish and maintain a usable set of organizational process assets and work environment standards.
Introductory Notes
Organizational process assets enable consistent process performance across the organization and provide a basis for cumulative, long-term benefits to the organization. (See the definition of “organizational process assets” in the glossary.)
The organization’s “process asset library” is a collection of items maintained by the organization for use by the organization’s people and projects. This collection of items includes descriptions of processes and process elements, descriptions of lifecycle models, process tailoring guidelines, process-related documentation, and data. The organization’s process asset library supports organizational learning and process improvement by allowing the sharing of best practices and lessons learned across the organization.
The organization’s “set of standard processes” is tailored by projects to create their defined processes. Other organizational process assets are used to support tailoring and implementing defined processes. Work environment standards are used to guide the creation of project work environments.
A “standard process” is composed of other processes (i.e., subprocesses) or process elements. A “process element” is the fundamental (i.e., atomic) unit of process definition that describes activities and tasks to consistently perform work. The process architecture provides rules for connecting the process elements of a standard process. The organization’s set of standard processes may include multiple process architectures.
(See the definitions of “standard process,” “process architecture,” “subprocess,” and “process element” in the glossary.)
Organizational process assets may be organized in many ways, depending on the implementation of the Organizational Process Definition process area. Examples include the following:
• Descriptions of lifecycle models may be part of the organization’s set of standard processes, or they may be documented separately.
• The organization’s set of standard processes may be stored in the organization’s process asset library, or it may be stored separately.
• A single repository may contain both measurements and process-related documentation, or they may be stored separately.
Related Process Areas
Refer to the Strategic Service Management process area for more information about establishing and maintaining standard services in concert with strategic needs and plans.
Refer to the Organizational Process Focus process area for more information about deploying organizational process assets.
Specific Practices by Goal
SG 1 Establish Organizational Process Assets
A set of organizational process assets is established and maintained.
SP 1.1 Establish Standard Processes
Establish and maintain the organization’s set of standard processes.
Standard processes may be defined at multiple levels in an enterprise and they may be related hierarchically. For example, an enterprise may have a set of standard processes that is tailored by individual organizations (e.g., a division, a site) in the enterprise to establish their set of standard processes. The set of standard processes may also be tailored for each of the organization’s business areas or product lines. Thus the organization’s set of standard processes can refer to the standard processes established at the organization level and standard processes that may be established at lower levels, although some organizations may have only one level of standard processes. (See the definitions of “standard process” and “organization’s set of standard processes” in the glossary.)
Multiple standard processes may be needed to address the needs of different application domains, lifecycle models, methodologies, and tools. The organization’s set of standard processes contains process elements (e.g., a work product size-estimating element) that may be interconnected according to one or more process architectures that describe relationships among process elements.
The organization’s set of standard processes typically includes technical, management, administrative, support, and organizational processes.
The organization’s set of standard processes should collectively cover all processes needed by the organization and projects, including those addressed by the process areas at maturity level 2.
Typical Work Products
1. Organization’s set of standard processes
Subpractices
1. Decompose each standard process into constituent process elements to the detail needed to understand and describe the process.
Each process element covers a bounded and closely related set of activities. The descriptions of process elements may be templates to be filled in, fragments to be completed, abstractions to be refined, or complete descriptions to be tailored or used unmodified. These elements are described in such detail that the process, when fully defined, can be consistently performed by appropriately trained and skilled people.
Examples of process elements include the following:
• Tailorable incident resolution process
• Template for creating service agreements
• Template for generating work product size estimates
• Description of work product design methodology
• Tailorable peer review methodology
• Template for conducting management reviews
2. Specify the critical attributes of each process element.
Examples of critical attributes include the following:
• Process roles
• Applicable standards
• Applicable procedures, methods, tools, and resources
• Process-performance objectives
• Entry criteria
• Inputs
• Product and process measures
• Verification points (e.g., peer reviews)
• Outputs
• Interfaces
• Exit criteria
3. Specify relationships among process elements.
Examples of relationships include the following:
• Order of the process elements
• Interfaces among process elements
• Interfaces with external processes
• Interdependencies among process elements
The rules for describing relationships among process elements are referred to as the “process architecture.” The process architecture covers essential requirements and guidelines. Detailed specifications of these relationships are covered in descriptions of defined processes that are tailored from the organization’s set of standard processes.
4. Ensure that the organization’s set of standard processes adheres to applicable policies, standards, and models.
Adherence to applicable process standards and models is typically demonstrated by developing a mapping from the organization’s set of standard processes to relevant process standards and models. This mapping is a useful input to future appraisals.
5. Ensure that the organization’s set of standard processes satisfies process needs and objectives of the organization.
Refer to the Organizational Process Focus process area for more information about establishing organizational process needs.
6. Ensure that there is appropriate integration among processes that are included in the organization’s set of standard processes.
7. Document the organization’s set of standard processes.
8. Conduct peer reviews on the organization’s set of standard processes.
9. Revise the organization’s set of standard processes as necessary.
SP 1.2 Establish Lifecycle Model Descriptions
Establish and maintain descriptions of lifecycle models approved for use in the organization.
Lifecycle models may be developed for a variety of customers or in a variety of situations, since one lifecycle model may not be appropriate for all situations. Lifecycle models are often used to define phases of the project. Also, the organization may define different lifecycle models for each type of product and service it delivers.
Typical Work Products
1. Descriptions of lifecycle models
Subpractices
1. Select lifecycle models based on the needs of projects and the organization.
The selection of a service lifecycle model depends on the characteristics of the services and the environment. Some service providers define lifecycle phases based on their standard service definitions.
Examples of sets of phases that may comprise a service lifecycle include the following:
• Plan, define, enable, and measure
• Scope definition, planning, execution, and termination
• Strategy, design, transition, operation, and improvement
Often, individual service domains have implicit lifecycles associated with them that involve points of communication, evaluation, and decision. Descriptions of these points may be included in the set of descriptions of lifecycle models approved for use in the organization.
Examples of project lifecycle models used for developing a service system include the following:
• Waterfall
• Spiral
• Evolutionary
• Incremental
• Iterative
2. Document descriptions of lifecycle models.
Lifecycle models may be documented as part of the organization’s standard process descriptions, or they may be documented separately.
3. Conduct peer reviews on lifecycle models.
4. Revise the descriptions of lifecycle models as necessary.
SP 1.3 Establish Tailoring Criteria and Guidelines
Establish and maintain tailoring criteria and guidelines for the organization’s set of standard processes.
Tailoring criteria and guidelines describe the following:
• How the organization’s set of standard processes and organizational process assets are used to create defined processes
• Requirements that must be satisfied by defined processes (e.g., the subset of organizational process assets that are essential for any defined process)
• Options that can be exercised and criteria for selecting among options
• Procedures that must be followed in performing and documenting process tailoring
Examples of reasons for tailoring include the following:
• Adapting the process to a new service or type of customer
• Customizing the process for an application or class of similar applications
• Elaborating the process description so that the resulting defined process can be performed
Flexibility in tailoring and defining processes is balanced with ensuring appropriate consistency of processes across the organization. Flexibility is needed to address contextual variables, such as the domain; the nature of the customer; cost, schedule, and quality tradeoffs; the technical difficulty of the work; and the experience of the people implementing the process. Consistency across the organization is needed so that organizational standards, objectives, and strategies are appropriately addressed, and process data and lessons learned can be shared.
Tailoring criteria and guidelines may allow for using a standard process “as is,” with no tailoring.
Typical Work Products
1. Tailoring guidelines for the organization’s set of standard processes
Subpractices
1. Specify selection criteria and procedures for tailoring the organization’s set of standard processes.
Examples of criteria and procedures include the following:
• Criteria for selecting lifecycle models from those approved by the organization
• Criteria for selecting process elements from the organization’s set of standard processes
• Procedures for tailoring selected lifecycle models and process elements to accommodate process characteristics and needs
Examples of tailoring include the following:
• Modifying a lifecycle model
• Combining elements of different lifecycle models
• Modifying process elements
• Replacing process elements
• Reordering process elements
2. Specify the standards used for documenting defined processes.
3. Specify the procedures used for submitting and obtaining approval of waivers from the organization’s set of standard processes.
4. Document tailoring guidelines for the organization’s set of standard processes.
5. Conduct peer reviews on the tailoring guidelines.
6. Revise tailoring guidelines as necessary.
SP 1.4 Establish the Organization’s Measurement Repository
Establish and maintain the organization’s measurement repository.
Refer to the Use Organizational Process Assets for Planning Project Activities specific practice in the Integrated Project Management process area for more information about the use of the organization’s measurement repository in planning project activities.
The repository contains both product and process measures related to the organization’s set of standard processes. It also contains or refers to information needed to understand and interpret measures and to assess them for reasonableness and applicability. For example, the definitions of measures are used to compare similar measures from different processes.
Typical Work Products
1. Definition of the common set of product and process measures for the organization’s set of standard processes
2. Design of the organization’s measurement repository
3. Organization’s measurement repository (i.e., the repository structure and support environment)
4. Organization’s measurement data
Subpractices
1. Determine the organization’s needs for storing, retrieving, and analyzing measurements.
2. Define a common set of process and product measures for the organization’s set of standard processes.
Measures in the common set are selected based on the organization’s set of standard processes. They are selected for their ability to provide visibility into process performance and to support expected business objectives. The common set of measures may vary for different standard processes.
Operational definitions for measures specify procedures for collecting valid data and the point in the process where data will be collected.
Examples of classes of commonly used measures include the following:
• Estimates of work product size (e.g., pages)
• Estimates of effort and cost (e.g., person hours)
• Actual measures of size, effort, and cost
• Quality measures (e.g., number of incidents reported)
• Peer review coverage
• Test coverage
• Reliability measures (e.g., mean time to failure)
3. Design and implement the measurement repository.
4. Specify procedures for storing, updating, and retrieving measures.
Refer to the Measurement and Analysis process area for more information about specifying data collection and storage procedures.
5. Conduct peer reviews on definitions of the common set of measures and procedures for storing, updating, and retrieving measures.
6. Enter specified measures into the repository.
Refer to the Measurement and Analysis process area for more information about specifying measures.
7. Make the contents of the measurement repository available for use by the organization and projects as appropriate.
8. Revise the measurement repository, the common set of measures, and procedures as the organization’s needs change.
Examples of when the common set of measures may need to be revised include the following:
• New processes are added.
• Processes are revised and new measures are needed.
• Finer granularity of data is required.
• Greater visibility into the process is required.
• Measures are retired.
SP 1.5 Establish the Organization’s Process Asset Library
Establish and maintain the organization’s process asset library.
Examples of items to be stored in the organization’s process asset library include the following:
• Organizational policies
• Process descriptions
• Procedures (e.g., estimating procedure)
• Development plans
• Acquisition plans
• Quality assurance plans
• Training materials
• Process aids (e.g., checklists)
• Lessons-learned reports
Typical Work Products
1. Design of the organization’s process asset library
2. The organization’s process asset library
3. Selected items to be included in the organization’s process asset library
4. The catalog of items in the organization’s process asset library
Subpractices
1. Design and implement the organization’s process asset library, including the library structure and support environment.
2. Specify criteria for including items in the library.
Items are selected based primarily on their relationship to the organization’s set of standard processes.
3. Specify procedures for storing, updating, and retrieving items.
4. Enter selected items into the library and catalog them for easy reference and retrieval.
5. Make items available for use by projects.
6. Periodically review the use of each item.
7. Revise the organization’s process asset library as necessary.
Examples of when the library may need to be revised include the following:
• New items are added.
• Items are retired.
• Current versions of items are changed.
SP 1.6 Establish Work Environment Standards
Establish and maintain work environment standards.
Work environment standards allow the organization and projects to benefit from common tools, training, and maintenance as well as cost savings from volume purchases. Work environment standards address the needs of all stakeholders and consider productivity, cost, availability, security, and workplace health, safety, and ergonomic factors. Work environment standards can include guidelines for tailoring and the use of waivers that allow adaptation of the project’s work environment to meet needs.
Examples of work environment standards include the following:
• Procedures for the operation, safety, and security of the work environment
• Standard workstation hardware and software
• Standard application software and tailoring guidelines for it
• Standard production and calibration equipment
• Process for requesting and approving tailoring or waivers
• Procedures for the operation, safety, and security of the customer work environment in which the service provider must work
Typical Work Products
1. Work environment standards
Subpractices
1. Evaluate commercially available work environment standards appropriate for the organization.
2. Adopt existing work environment standards and develop new ones to fill gaps based on the organization’s process needs and objectives.
SP 1.7 Establish Rules and Guidelines for Integrated Teams
Establish and maintain organizational rules and guidelines for the structure, formation, and operation of integrated teams.
When establishing rules and guidelines for integrated teams, ensure that they comply with all local and national regulations or laws that may affect the use of integrated teaming.
Operating rules and guidelines for integrated teams define and control how teams are created and how they interact to accomplish objectives. Integrated team members must understand the standards for work and participate according to those standards.
Structuring integrated teams involves defining the number of teams, the type of each team, and how each team relates to the others in the structure. Forming integrated teams involves chartering each team, assigning team members and team leaders, and providing resources to each team to accomplish work.
Typical Work Products
1. Rules and guidelines for structuring and forming integrated teams
Subpractices
1. Establish and maintain empowerment mechanisms to enable timely decision making.
In a successful teaming environment, clear channels of responsibility and authority must be established. Issues can arise at any level of the organization when integrated teams assume too much or too little authority and when it is unclear who is responsible for making decisions. Documenting and deploying organizational guidelines that clearly define the empowerment of integrated teams can prevent these issues.
2. Establish rules and guidelines for structuring and forming integrated teams.
Organizational process assets can help the project to structure and implement integrated teams. Such assets may include the following:
• Team structure guidelines
• Team formation guidelines
• Team authority and responsibility guidelines
• Guidelines for establishing lines of communication, authority, and escalation
• Team leader selection criteria
3. Define the expectations, rules, and guidelines that guide how integrated teams work collectively.
These rules and guidelines establish organizational practices for consistency across integrated teams and can include the following:
• How interfaces among integrated teams are established and maintained
• How assignments are accepted and transferred
• How resources and inputs are accessed
• How work gets done
• Who checks, reviews, and approves work
• How work is approved
• How work is delivered and communicated
• Who reports to whom
• What the reporting requirements (e.g., cost, schedule, performance status), measures, and methods are
• Which progress reporting measures and methods are used
4. Maintain the rules and guidelines for structuring and forming integrated teams.
5. Establish and maintain organizational guidelines to help team members balance their team and home organization responsibilities.
A “home organization” is the part of the organization to which team members are assigned when they are not on an integrated team. A “home organization” may be called a “functional organization,” “home base,” “home office,” or “direct organization.”