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 1.1-1 Establish Organizational Process Needs Establish and maintain the description of the process needs and objectives for the organization. For Integrated Product and Process Development Integrated processes that emphasize parallel rather than serial development are a cornerstone of IPPD implementation. Product development processes and product-related life-cycle processes, such as the manufacturing process development and the support process development processes, are conducted concur-rently. Such integrated processes need to accommodate the information provided by stakeholders representing all phases of the product life cycle from both business and technical functions. Processes for effective teamwork will also be needed. |
Table . Practice-to-Goal Relationship Table | Continuous Representation | Staged Representation | | SG 1 Determine Process Improvement Opportunities | SG 1 Determine Process Improvement Opportunities | SP 1.1-1 Establish Organizational Process Needs | SP 1.1-1 Establish Organizational Process Needs | SP 1.2-1 Appraise the Organization's Processes | SP 1.2-1 Appraise the Organization's Processes | SP 1.3-1 Identify the Organization's Process Improvements | SP 1.3-1 Identify the Organization's Process Improvements | | SG 2 Plan and Implement Process Improvement Activities | SG 2 Plan and Implement Process Improvement Activities | SP 2.1-1 Establish Process Action Plans | SP 2.1-1 Establish Process Action Plans | SP 2.2-1 Implement Process Action Plans | SP 2.2-1 Implement Process Action Plans | SP 2.3-1 Deploy Organizational Process Assets | SP 2.3-1 Deploy Organizational Process Assets | SP 2.4-1 Incorporate Process-Related Experiences into the Organizational Process Assets | SP 2.4-1 Incorporate Process-Related Experiences into the Organizational Process Assets | | GG 1 Achieve Specific Goals | | GP 1.1 Perform Base Practices | | | GG 2 Institutionalize a Managed Process | GG 3 Institutionalize a Defined Process | GP 2.1 Establish an Organizational Policy | GP 2.1 Establish an Organizational Policy | GP 2.2 Plan the Process | GP 2.2 Plan the Process | GP 2.3 Provide Resources | GP 2.3 Provide Resources | GP 2.4 Assign Responsibility | GP 2.4 Assign Responsibility | GP 2.5 Train People | GP 2.5 Train People | GP 2.6 Manage Configurations | GP 2.6 Manage Configurations | GP 2.7 Identify and Involve Relevant Stakeholders | GP 2.7 Identify and Involve Relevant Stakeholders | GP 2.8 Monitor and Control the Process | GP 2.8 Monitor and Control the Process | GP 2.9 Objectively Evaluate Adherence | GP 2.9 Objectively Evaluate Adherence | GP 2.10 Review Status with Higher Level Management | GP 2.10 Review Status with Higher Level Management | | GG 3 Institutionalize a Defined Process | | GP 3.1 Establish a Defined Process | GP 3.1 Establish a Defined Process | GP 3.2 Collect Improvement Information | GP 3.2 Collect Improvement Information | | GG 4 Institutionalize a Quantitatively Managed Process | | GP 4.1 Establish Quantitative Objectives for the Process | | GP 4.2 Stabilize Subprocess Performance | | | GG 5 Institutionalize an Optimizing Process | | GP 5.1 Ensure Continuous Process Improvement | | GP 5.2 Correct Root Causes of Problems | | For Integrated Product and Process Development Examples of processes for effective teamwork include the following: |
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 financial, technological, quality, human resource, and marketing are important process considerations. The organization's process needs and objectives cover aspects that in clude the following: Characteristics of the processes Process-performance objectives, such as time-to-market and product quality Process effectiveness Typical Work Products Organization's process needs and objectives Subpractices Identify the policies, standards, and business objectives that are applicable to the organization's processes. Examine relevant process standards and models for best practices. Determine the organization's process-performance objectives. Process-performance objectives may be expressed in quantitative or qualitative terms. Examples of process-performance objectives include the following: Cycle time Defect removal rates Productivity |
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 Process and product standards imposed by the organization Process and product standards commonly imposed by customers of the organization Examples of process characteristics include the following: |
Document the organization's process needs and objectives. Revise the organization's process needs and objectives as needed. SP 1.2-1 Appraise the Organization's Processes Appraise the processes of the organization 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 Plans for the organization's process appraisals Appraisal findings that address strengths and weaknesses of the organization's processes Improvement recommendations for the organization's processes Subpractices 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. 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 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. 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. Plan, schedule, and prepare for the process appraisal. Conduct the process appraisal. Document and deliver the appraisal's activities and findings. SP 1.3-1 Identify the Organization's Process Improvements Identify improvements to the organization's processes and process assets. Typical Work Products Analysis of candidate process improvements Identification of improvements for the organization's processes Subpractices 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 and 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 organization improvement initiatives 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 |
Identify and document the process improvements that will be implemented. Revise the list of planned process improvements to keep it current. SG 2 Plan and Implement Process Improvement Activities Improvements are planned and implemented, organizational process assets are deployed, and process-related experiences are incorporated into the organizational process assets. Successful implementation of improvements requires participation in the process definition and improvement activities by process owners, those performing the process, and support organizations. SP 2.1-1 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 the process improvement activities Process action teams to define and implement the improvement Process owners to manage the 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 Organization's approved process action plans Subpractices 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. 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. 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 Review and negotiate process action plans with relevant stakeholders. Review process action plans as necessary. SP 2.2-1 Implement Process Action Plans Implement process action plans across the organization. Typical Work Products Commitments among the various process action teams Status and results of implementing process action plans Plans for pilots Subpractices Make process action plans readily available to relevant stakeholders. Negotiate and document commitments among the process action teams and revise their process action plans as necessary. Track progress and commitments against process action plans. Conduct joint reviews with the process action teams and relevant stakeholders to monitor the progress and results of the process actions. Plan pilots needed to test selected process improvements. Review the activities and work products of process action teams. Identify, document, and track to closure issues in implementing process action plans. Ensure that the results of implementing process action plans satisfy the organization's process-improvement objectives. SP 2.3-1 Deploy Organizational Process Assets Deploy organizational process assets across the organization. Deployment of organizational process assets or of 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 implementation in some parts of the organization (because of customer requirements or the current life-cycle 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 Plans for deploying the organizational process assets and changes to organizational process assets Training materials for deploying the organizational process assets and changes to organizational process assets Documentation of changes to the organizational process assets Support materials for deploying the organizational process assets and changes to organizational process assets Subpractices Deploy organizational process assets and associated methods and tools. Typical activities performed as a part of this deployment include the following: Planning the deployment Identifying the organizational process assets that should be adopted by those who will be performing the process Ensuring that training is available for the organizational process assets that are being deployed Identifying the support resources (e.g., tools) needed to transition the deployed organizational process assets Determining the schedule for deploying the organizational process assets Refer to the Organizational Training process area for more information about coordination of training. Deploy the changes that were made to the organizational process assets. Typical activities performed as a part of this deployment include the following: Planning the deployment Determining which changes are appropriate for those that are or will be performing the process Determining the time frame for deploying the changes Arranging for the associated support needed to successfully transition the changes Document the changes to the organizational process assets. The documentation of changes is used to understand the relationship of the changes to resulting changes in process performance and results. Provide guidance and consultation on the use of the organizational process assets. SP 2.4-1 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 Process improvement proposals Process lessons learned Measurements on the organizational process assets Improvement recommendations for the organizational process assets Records of the organization's process improvement activities Information on the organizational process assets and improvements to them Subpractices 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. Obtain feedback about the use of the organizational process assets. Derive lessons learned from defining, piloting, implementing, and deploying the organizational process assets. Make lessons learned available 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: |
Examples of ways to prevent inappropriate use of lessons learned include the following: |
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. 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 Make the best use of the organization's processes, methods, and tools available to the people in the organization as appropriate. Manage process improvement proposals. The activities for managing process improvement proposals typically include the following: Soliciting process improvement proposals Collecting process improvement proposals Reviewing the process improvement proposals Selecting the process improvement proposals that will be implemented Tracking the implementation of the 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. Establish and maintain records of the organization's process improvement activities. Generic Practices by Goal GG 1 Achieve Specific Goals The process supports and enables achievement of the specific goals of the process area by transforming identifiable input work products to produce identifiable output work products. GP 1.1 Perform Base Practices Perform the base practices of the organizational process focus process to develop work products and provide services to achieve the specific goals of the process area. GG 2 Institutionalize a Managed Process The process is institutionalized as a managed process. GG 3 Institutionalize a Defined Process The process is institutionalized as a defined process. AUTHORS' NOTE: This generic goal's appearance here reflects its location in the staged representation. Commitment to Perform GP 2.1 Establish an Organizational Policy Establish and maintain an organizational policy for planning and performing the organizational process focus process. Elaboration This policy establishes organizational expectations for determining process improvement opportunities for the processes being used and for planning and implementing process improvement activities across the organization. Ability to Perform GP 2.2 Plan the Process Establish and maintain the plan for performing the organizational process focus process. Elaboration The plan for performing the organizational process focus process, which is often called "the process improvement plan," differs from the process action plans described in specific practices in this process area. The plan called for in this generic practice addresses the comprehensive planning for all of the specific practices in this process area, from the establishment of organizational process needs all the way through to the incorporation of process-related experiences into the organizational process assets. GP 2.3 Provide Resources Provide adequate resources for performing the organizational process focus process, developing the work products, and providing the services of the process. Elaboration | Examples of resources provided include the following tools: Database management systems Process improvement tools Web page builders and browsers Groupware Quality-improvement tools (e.g., cause-and-effect diagrams, affinity diagrams, Pareto charts) |
GP 2.4 Assign Responsibility Assign responsibility and authority for performing the process, developing the work products, and providing the services of the organizational process focus process. Elaboration Two groups are typically established and assigned responsibility for process improvement: (1) a management steering committee for process improvement to provide senior management sponsorship, and (2) a process group to facilitate and manage the process improvement activities. GP 2.5 Train People Train the people performing or supporting the organizational process focus process as needed. Elaboration | Examples of training topics include the following: CMMI and other process and process improvement reference models Planning and managing process improvement Tools, methods, and analysis techniques Process modeling Facilitation techniques Change management |
Directing Implementation GP 2.6 Manage Configurations Place designated work products of the organizational process focus process under appropriate levels of configuration management. Elaboration | Examples of work products placed under configuration management include the following: Process improvement proposals Organization's approved process action plans Training materials for deploying organizational process assets Plans for the organization's process appraisals |
GP 2.7 Identify and Involve Relevant Stakeholders Identify and involve the relevant stakeholders of the organizational process focus process as planned. Elaboration | Examples of activities for stakeholder involvement include the following: Coordinating and collaborating on process improvement activities with process owners, those who are or will be performing the process, and support organizations (e.g., training staff and quality assurance representatives) Establishing the organizational process needs and objectives Appraising the organization's processes Implementing process action plans Coordinating and collaborating on the execution of pilots to test selected improvements Deploying organizational process assets and changes to organizational process assets Communicating the plans, status, activities, and results related to the implementation of process improvement activities |
GP 2.8 Monitor and Control the Process Monitor and control the organizational process focus process against the plan for performing the process and take appropriate corrective action. Elaboration | Examples of measures used in monitoring and controlling include the following: Number of process improvement proposals submitted, accepted, or implemented CMMI maturity level or capability level |
Verifying Implementation GP 2.9 Objectively Evaluate Adherence Objectively evaluate adherence of the organizational process focus process against its process description, standards, and procedures, and address noncompliance. Elaboration | Examples of activities reviewed include the following: |
| Examples of work products reviewed include the following: |
GP 2.10 Review Status with Higher Level Management Review the activities, status, and results of the organizational process focus process with higher level management and resolve issues. Elaboration These reviews are typically in the form of a briefing presented to the management steering committee by the process group and the process action teams. | Examples of presentation topics include the following: Status of improvements being developed by process action teams Results of pilots Results of deployments Schedule status for achieving significant milestones (e.g., readiness for an appraisal, or progress toward achieving a targeted organizational maturity level or capability level profile) |
GG 3 Institutionalize a Defined Process The process is institutionalized as a defined process. AUTHORS' NOTE: This generic goal's appearance here reflects its location in the continuous representation. Ability to Perform GP 3.1 Establish a Defined Process Establish and maintain the description of a defined organizational process focus process. Directing Implementation GP 3.2 Collect Improvement Information Collect work products, measures, measurement results, and improvement information derived from planning and performing the organizational process focus process to support the future use and improvement of the organization's processes and process assets. GG 4 Institutionalize a Quantitatively Managed Process The process is institutionalized as a quantitatively managed process. GP 4.1 Establish Quantitative Objectives for the Process Establish and maintain quantitative objectives for the organizational process focus process that address quality and process performance based on customer needs and business objectives. GP 4.2 Stabilize Subprocess Performance Stabilize the performance of one or more subprocesses to determine the ability of the organizational process focus process to achieve the established quantitative quality and process-performance objectives. GG 5 Institutionalize an Optimizing Process The process is institutionalized as an optimizing process. GP 5.1 Ensure Continuous Process Improvement Ensure continuous improvement of the organizational process focus process in fulfilling the relevant business objectives of the organization. GP 5.2 Correct Root Causes of Problems Identify and correct the root causes of defects and other problems in the organizational process focus process. | 