4.9. ORGANIZATIONAL PROCESS FOCUS

Purpose

The purpose of Organizational Process Focus (OPF) is to plan, implement, and deploy organizational process improvements based on a thorough understanding of the current strengths and weaknesses of the organization’s processes and process assets.

Introductory Notes

The organization's processes include all the processes used by the organization and its projects. Candidate improvements to the organization's processes and process assets are obtained from various sources, including measurement of the processes, lessons learned in implementing the processes, results of process appraisals, results of product evaluation activities, results of benchmarking against other organizations’ processes, and recommendations from other improvement initiatives in the organization.
Process improvement occurs within 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 will 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 the improvements.
Careful planning is required to ensure that process improvement efforts across the organization are adequately managed and implemented. The organization’s planning for process improvement results in a process improvement plan.
The organization’s process improvement plan will address appraisal planning, process action planning, pilot planning, and deployment planning. Appraisal plans describe the appraisal timeline and schedule, the scope of the appraisal, the resources required to perform the appraisal, the reference model against which the appraisal will be performed, and the logistics for the appraisal.
Process action plans usually result from appraisals and document how specific improvements targeting the weaknesses uncovered by an appraisal will be implemented. In cases in which it is determined that the improvement described in the process action plan should be tested on a small group before deploying it across the organization, a pilot plan is generated.
Finally, when the improvement is to be deployed, a deployment plan is used. 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 the organizational process assets.

Specific Goal and Practice Summary

SG 1 Determine Process Improvement Opportunities
SP 1.1 Establish Organizational Process Needs
SP 1.2 Appraise the Organization’s Processes
SP 1.3 Identify the Organization's Process Improvements

SG 2 Plan and Implement Process Improvements
SP 2.1 Establish Process Action Plans
SP 2.2 Implement Process Action Plans

SG 3 Deploy Organizational Process Assets and Incorporate Lessons Learned
SP 3.1 Deploy Organizational Process Assets
SP 3.2 Deploy Standard Processes
SP 3.3 Monitor Implementation
SP 3.4 Incorporate Process-Related Experiences into the Organizational Process Assets

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 International Organization for Standardization (ISO) standard. The process improvements should be selected specifically to address the organization’s needs.

SP 1.1 Establish Organizational Process Needs

Establish and maintain the description of the process needs and objectives for the organization.

IPPD Addition
Integrated processes that emphasize parallel rather than serial development are a cornerstone of IPPD implementation. The processes for developing the product and for developing product-related lifecycle processes, such as the manufacturing process and the support process processes, are integrated and conducted concurrently. Such integrated processes need to accommodate the information provided by stakeholders representing all phases of the product lifecycle from both business and technical functions. Processes for effective teamwork will also be needed.

IPPD Addition
Examples of processes for effective teamwork include the following:
· Communications
· Collaborative decision making
· Issue resolution
· Team building


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, the issues related to 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 the processes
· Process-performance objectives, such as time-to-market and delivered quality
· Process effectiveness
Typical Work Products
1. Organization’s process needs and objectives
Subpractices
1. Identify the 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 process-performance objectives include the following:
· Cycle time
· Defect removal rates
· Productivity

4. Define the essential characteristics of the organization’s processes.
The 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 used to describe the processes
· Process notation used
· Granularity of the processes

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 that should 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 the resources and funding to analyze and communicate the 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 or business areas) that will be covered by the appraisal
· Identification of the project and support functions that will represent the organization in the appraisal
· Processes that will be appraised
3. Determine the method and criteria for process appraisal.
Process appraisals can occur in many forms. Process appraisals 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]. The appraisals may also be based on a benchmark comparison with other organizations. The appraisal method may assume a variety of characteristics in terms of time and effort expended, 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:
· Measure the processes and analyze the measurement results
· Review the processes for effectiveness and suitability
· Review the lessons learned from tailoring the organization’s set of standard processes
· Review the lessons learned from implementing the processes
· Review process improvement proposals submitted by the organization’s managers, staff, and other relevant stakeholders
· Solicit inputs on process improvements from senior management and leaders in the organization
· Examine the results of process appraisals and other process-related reviews
· Review results of other organizational improvement initiatives
2. Prioritize the candidate process improvements.
Criteria for prioritization are as follows:
· Consider the estimated cost and effort to implement the process improvements
· Appraise 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 the possible improvements to be implemented include the following:
· 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 that will be implemented.
4. Revise the list of planned process improvements to keep it current.

SG 2 Plan and Implement Process Improvements

Process actions that address improvements to the organization’s processes and process assets are planned and implemented.

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 to set strategies and oversee process improvement activities
· Process group staff to facilitate and manage process improvement activities
· Process action teams to define and implement process actions
· Process owners to manage deployment
· Practitioners to perform the process
This involvement helps to obtain buy-in on the 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 in that they are plans targeting specific improvements that have been defined to address weaknesses usually uncovered by appraisals.
Typical Work Products
1. Organization's approved process action plans
Subpractices
1. Identify strategies, approaches, and actions to address the identified process improvements.
New, unproven, and major changes are piloted before they are incorporated into normal use.
2. Establish process action teams to implement the 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:
· Process improvement infrastructure
· Process improvement objectives
· Process improvements that will be addressed
· Procedures for planning and tracking process actions
· Strategies for piloting and implementing the process actions
· Responsibility and authority for implementing the process actions
· Resources, schedules, and assignments for implementing the process actions
· Methods for determining the effectiveness of the 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 the various 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 the 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 the process action teams and relevant stakeholders to monitor the progress and results of the 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 in implementing process action plans.
8. Ensure that the results of implementing process action plans satisfy the organization’s process improvement objectives.

SG 3 Deploy Organizational Process Assets and Incorporate Lessons Learned

The organizational process assets are deployed across the organization and process-related experiences are incorporated into the organizational process assets.

The specific practices within this specific goal describe ongoing activities. New opportunities to benefit from the organizational process assets and changes to them may arise throughout the life of each project. Deployment of the standard processes and other organizational process assets must be continually supported within 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 organizational process assets should be performed in an orderly manner. Some organizational process assets or changes to organizational process assets may not be appropriate for use in some parts of the organization (because of customer requirements or the current lifecycle phase being implemented, for example). It is therefore important that those that are or will be executing the process, as well as other organization functions (such as training and quality assurance), be involved in the deployment as necessary.
Refer to the Organizational Process Definition process area for more information about how the deployment of organizational process assets is supported and enabled by 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 this deployment include the following:
· Identifying the organizational process assets that should be adopted by those who perform the process
· Determining how the organizational process assets are made available (e.g., via Web site)
· Identifying how changes to the organizational process assets are communicated
· Identifying the resources (e.g., methods and tools) needed to support the use of the organizational process assets
· Planning the deployment
· Assisting those who use the organizational process assets
· Ensuring that training is available for those who use the organizational process assets
Refer to the Organizational Training process area for more information about coordination of training.
2. Document the changes to the organizational process assets.
Documenting changes to the organizational process assets serves two main purposes:
· To enable communication of the changes
· To understand the relationship of changes in the organizational process assets to changes in process performance and results
3. Deploy the changes that were made to the 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 associated support needed to successfully transition the changes
4. Provide guidance and consultation on the use of the 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, and 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 updating 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 the organization’s set of standard processes and tailoring guidelines.
Typical Work Products
1. Organization's list of projects and status of process deployment on each project (i.e., existing and planned projects)
2. Guidelines for deploying the organization’s set of standard processes on new projects
3. Records of tailoring the organization’s set of standard processes and implementing them on identified projects
Subpractices
1. Identify projects within 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 project needs.
Refer to the Integrated Project Management process area for more information about tailoring the organization’s set of standard processes to meet the unique needs and objectives of the project.
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 the plans for process-compliance audits.
Process-compliance audits address objective evaluations of project activities against the project’s defined processes.
7. As the organization’s set of standard processes are updated, identify which projects should implement the changes.

SP 3.3 Monitor 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 develop an understanding of the organizational process assets being used and where they are used within 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 evaluations
3. Results of reviewing selected process artifacts created as part of process tailoring and implementation
Subpractices
1. Monitor projects for their 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 the results of process-compliance evaluations 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 against applicable process descriptions, standards, and procedures.
4. Identify, document, and track to closure issues related to implementing the organization’s set of standard processes.

SP 3.4 Incorporate Process-Related Experiences into the Organizational Process Assets

Incorporate process-related work products, measures, and improvement information derived from planning and performing the process into the organizational process assets.

Typical Work Products
1. Process improvement proposals
2. Process lessons learned
3. Measurements on the organizational process assets
4. Improvement recommendations for the organizational process assets
5. Records of the organization's process improvement activities
6. Information on the 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 the organizational process assets.
3. Derive lessons learned from defining, piloting, implementing, and deploying the organizational process assets.
4. Make available lessons learned to the people in the organization as appropriate.
Actions may have to be taken to ensure that lessons learned are used appropriately.
Examples of inappropriate use of lessons learned include the following:
· Evaluating the performance of people
· Judging process performance or results

Examples of ways to prevent inappropriate use of lessons learned include the following:
· Controlling access to the lessons learned
· Educating people about the appropriate use of lessons learned

5. Analyze the organization's common set of measures.
Refer to the Measurement and Analysis process area for more information about analyzing measures.
Refer to the Organizational Process Definition process area for more information about establishing an organizational measurement repository, including common measures.
6. Appraise the processes, methods, and tools in use in the organization and develop recommendations for improving the organizational process assets.
This appraisal typically includes the following:
· Determining which of the processes, methods, and tools are of potential use to other parts of the organization
· Appraising the quality and effectiveness of the organizational process assets
· Identifying candidate improvements to the 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 the 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 that will 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.