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 work groups. 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 evaluations, 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 can 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.
Process improvement opportunities can arise as a result of changing business objectives, legal and regulatory requirements, and results of benchmarking studies.
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 should 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.
Example 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 can be expressed in quantitative or qualitative terms.
Refer to the Measurement and Analysis process area for more information about establishing measurement objectives.
Refer to the Organizational Process Performance process area for more information about establishing quality and process performance objectives.
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
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.
The buy-in gained during a process appraisal can be eroded significantly if it is not followed by an appraisal based action plan.
Example 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 can be performed on the entire organization or can be performed on a smaller part of an organization such as a single work group 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 work group 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 can change over time. For example, the appraisal can be based on a process model, such as a CMMI model, or on a national or international standard, such as ISO 9001 [ISO 2008c]. Appraisals can also be based on a benchmark comparison with other organizations in which practices that can contribute to improved organizational 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.
Example Work Products
1. Analysis of candidate process improvements
2. Identification of improvements for the organization’s processes
Subpractices
1. Determine candidate process improvements.
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.
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 who perform 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.
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.
Example 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.
4. Review and negotiate process action plans with relevant stakeholders.
5. Revise process action plans as necessary.
SP 2.2 Implement Process Action Plans
Implement process action plans.
Example Work Products
1. Commitments among process action teams
2. Status and results of implementing process action plans
3. Plans for pilots
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 can arise throughout the work lifecycle. Deployment of standard processes and other organizational process assets should be continually supported in the organization, particularly for new work 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 establishing organizational process assets.
Example 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.
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.
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 work groups at their startup and deploy changes to them as appropriate throughout the work.
It is important that new work groups use proven and effective processes to perform critical early activities (e.g., work planning, receiving requirements, obtaining resources).
Work groups 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 work activities derive the full benefit of what other work groups have learned.
Refer to the Organizational Process Definition process area for more information about establishing standard processes and establishing tailoring criteria and guidelines.
Example Work Products
1. The organization’s list of work and the status of process deployment on each (i.e., existing and planned work activities)
2. Guidelines for deploying the organization’s set of standard processes on new work
3. Records of tailoring and implementing the organization’s set of standard processes
Subpractices
1. Identify work groups in the organization that are starting up.
2. Identify active work groups 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 work.
4. Assist work groups in tailoring the organization’s set of standard processes to meet their needs.
Refer to the Integrated Work Management process area for more information about establishing the defined process for the work.
5. Maintain records of tailoring and implementing processes on the identified work.
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 work activities against the defined process for the work.
7. As the organization’s set of standard processes is updated, identify which work groups 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 work.
By monitoring implementation, the organization ensures that the organization’s set of standard processes and other process assets are appropriately deployed to all work groups. 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 work groups.
Example Work Products
1. Results of monitoring process implementation on work
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 the work groups’ use of organizational process assets and changes to them.
2. Review selected process artifacts created during the life of the work.
Reviewing selected process artifacts created during the work lifecycle ensures that all work groups 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 experiences derived from planning and performing the process into organizational process assets.
Example 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 process needs and objectives derived from 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.
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.
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.
Process improvement proposals are documented as process change requests or problem reports as appropriate.
Some process improvement proposals can be incorporated into the organization’s process action plans.
9. Establish and maintain records of the organization’s process improvement activities.