Organizational Process Focus: Specific Practice By Goal SP1.3

Establish Tailoring Criteria and Guidelines
Establish and maintain the tailoring criteria and guidelines for the organization's set of standard processes.

For Integrated Product and Process Development
In creating the tailoring criteria and guidelines, include considerations for concurrent development and operating with integrated teams. For example, how one tailors the manufacturing process will be different depending on whether it is done serially after the product has been developed or in
parallel with the development of the product, as in IPPD. Processes, such as resource allocation, will also be tailored differently if the project is operating with integrated teams.


The tailoring criteria and guidelines describe the following:
· How the organization's set of standard processes and organizational process assets are used to create the defined processes
· Mandatory requirements that must be satisfied by the defined processes (e.g., the subset of the organizational process assets that are essential for any defined process)
· Options that can be exercised and criteria for selecting among the options
· Procedures that must be followed in performing and documenting process tailoring
Examples of reasons for tailoring include the following:
· Adapting the process for a new product line or host environment
· Customizing the process for a specific application or class of applications (e.g.,initial development, maintenance, or creation of prototypes)
· 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 in the processes across the organization.
Flexibility is needed to address contextual variables such as the domain; nature of the customer; cost, schedule, and quality tradeoffs;technical difficulty of the work; and 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 the selection criteria and procedures for tailoring the organization's set of standard processes.

Examples of criteria and procedures include the following:
· Criteria for selecting life-cycle models from those approved by the organization
· Criteria for selecting process elements from the organization's set of standard processes
· Procedures for tailoring the selected life-cycle models and process elements to accommodate specific process characteristics and needs
Examples of tailoring actions include the following:
· Modifying a life-cycle model
· Combining elements of different life-cycle models
· Modifying process elements
· Replacing process elements
· Reordering process elements
2. Specify the standards for documenting the defined processes.
3. Specify the procedures for submitting and obtaining approval of waivers from the requirements of the organization's set of standard processes.
4. Document the tailoring guidelines for the organization's set of standard processes.
5. Conduct peer reviews on the tailoring guidelines.
6. Revise the tailoring guidelines as necessary.

Organizational Process Focus: Specific Practice By Goal SP1.2

Establish Life-Cycle Model Descriptions
Establish and maintain descriptions of the life-cycle models approved for use in the organization.
Life-cycle models may be developed for a variety of customers or in a variety of situations, since one life-cycle model may not be appropriate for all situations. The organization may identify more than one life-cycle
model for use. Typically, the organization needs both product and project life-cycle models, for the types of products that it produces and for defining the phases of the project.
Product life-cycle models partition the product life cycle into phases for which activities and requirements can be defined to promote a complete solution, from initiating development of the product to its ultimate
disposal.

Typical Work Products
1. Descriptions of life-cycle models
Subpractices
1. Select life-cycle models based on the needs of projects and the organization.
For example, in the case of a development project, project life-cycle models include the following:
· Waterfall
· Spiral
· Evolutionary
· Incremental
· Iterative
Examples of project characteristics that could affect the project life-cycle models include the following:
· Size of the project
· Experience and familiarity of project staff in implementing the process
· Constraints such as cycle time and acceptable defect levels
2. Document the descriptions of the life-cycle models.
The life-cycle models may be documented as part of the organization's standard process descriptions or they may be documented separately.
3. Conduct peer reviews on the life-cycle models.
. Revise the descriptions of the life-cycle models as necessary.

Organizational Process Focus: Specific Practice By Goal SP1.1

Establish Standard Processes
Establish and maintain the organization's set of standard processes.

For Integrated Product and Process Development
In an IPPD environment, the organization’s shared vision is included in the organizational process assets.
Standard processes may be defined at multiple levels in an enterprise and they may be related in a hierarchical manner. For example, an enterprise may have a set of standard processes that is tailored by
individual organizations (e.g., a division or 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 only have a single level of standard processes.

Multiple standard processes may be needed to address the needs of different application domains, life-cycle 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 the relationships among these process elements. Processes may be composed of other processes or 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 processes 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 the 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 sufficient detail such that the process, when fully defined, can be consistently performed by appropriately trained and skilled people.
Examples of process elements include the following:
· Template for generating work product size estimates
· Description of work product design methodology
· Tailorable peer review methodology
· Template for conduct of management reviews
2. Specify the critical attributes of each process element.
Examples of critical attributes include the following:
· Process roles
· Applicable process and product standards
· Applicable procedures, methods, tools, and resources
· Process performance objectives
· Entry criteria
· Inputs
· Product and process measures to be collected and used
· Verification points (e.g., peer reviews)
· Outputs
· Interfaces
· Exit criteria
3. Specify the relationships of the process elements.
Examples of relationships include the following:
· Ordering of the process elements
· Interfaces among the process elements
· Interfaces with external processes
· Interdependencies among the process elements
The rules for describing the relationships among process elements are referred to as “process architecture.” The process architecture covers the essential requirements and guidelines. The detailed specifications of these relationships are covered in the descriptions of the 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; process standards and models; and product standards.
Adherence to applicable process standards and models is typically demonstrated by developing a mapping from the organization’s set of standard processes to the relevant process standards and models. In addition, this mapping will be a useful input to future appraisals.
5. Ensure that the organization’s set of standard processes satisfies the process needs and objectives of the organization.
6. Ensure that there is appropriate integration among the 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.

Organizational Process Definition: CMMI Maturity Level 3

Consistent performance across the company is enabled through organizational process and also provides a basis for cumulative, long-term benefits to the organization. A coolection of items maintained by the organization are in organization's process asset library to be used by people and projects of the organization.
This collection of items includes descriptions of processes and process elements, descriptions of life-cycle 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. The other organizational process assets are used to support tailoring as well as the implementation of the
defined processes.
A standard process is composed of other processes or process elements. A process element is the fundamental (e.g., atomic) unit of process definition and describes the activities and tasks to consistently
perform work. 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.

The 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 life-cycle models may be documented as 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 they may be stored separately.
· A single repository may contain both the measurements and the process-related documentation, or they may be stored separately.

Specific and Generic Goals:
SG 1 Establish Organizational Process Assets
A set of organizational process assets is established and maintained.
GG 3 Institutionalize a Defined Process
The process is institutionalized as a defined process.

SG 1 Establish Organizational Process Assets
SP 1.1 Establish Standard Processes
SP 1.2 Establish Life-Cycle Model Descriptions
SP 1.3 Establish Tailoring Criteria and Guidelines
SP 1.4 Establish the Organization’s Measurement Repository
SP 1.5 Establish the Organization’s Process Asset Library

GG 3 Institutionalize a Defined Process
GP 2.1 (CO 1) Establish an Organizational Policy
GP 3.1 (AB 1) Establish a Defined Process
GP 2.2 (AB 2) Plan the Process
GP 2.3 (AB 3) Provide Resources
GP 2.4 (AB 4) Assign Responsibility
GP 2.5 (AB 5) Train People
GP 2.6 (DI 1) Manage Configurations
GP 2.7 (DI 2) Identify and Involve Relevant Stakeholders
GP 2.8 (DI 3) Monitor and Control the Process
GP 3.2 (DI 4) Collect Improvement Information
GP 2.9 (VE 1) Objectively Evaluate Adherence
GP 2.10 (VE 2) Review Status with Higher Level Management

Organizational Process Focus: Institutionalize A Defined Process

The process is institutionalized as a defined process.
Commitment to Perform
GP 2.1 (CO 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 3.1 (AB 1) Establish a Defined Process
Establish and maintain the description of a defined organizational process focus process.

GP 2.2 (AB 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 (AB 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., quality-improvement tools, cause-and-effect diagrams, affinity diagrams, Pareto charts)

GP 2.4 (AB 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;
(2) a process group to facilitate and manage the process-improvement activities.


GP 2.5 (AB 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 (DI 1) Manage Configurations
Place designated work products of the organizational process 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 (DI 2) 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 that 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 (DI 3) 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

GP 3.2 (DI 4) 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.

Verifying Implementation
GP 2.9 (VE 1) 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:
· Determining process-improvement opportunities
· Planning and coordinating process-improvement activities
Examples of work products reviewed include the following:
· Process-improvement plans
· Process action plans
· Plans for the organization’s process appraisals

GP 2.10 (VE 2) 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 towards achieving a targeted organizational maturity level or capability level profile)

Organizational Process Focus: Speciifc Practice By Goal SG2

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 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
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 across the organization.

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.


SP 2.3 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 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.
Typical Work Products
1. Plans for deploying the organizational process assets and changes to organizational process assets
2. Training materials for deploying the organizational process assets and changes to organizational process assets
3. Documentation of changes to the organizational process assets
4. Support materials for deploying the organizational process assets and changes to organizational process assets
Subpractices
1. 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
2. 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
3. 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.
4. Provide guidance and consultation on the use of the organizational process assets.

SP 2.4 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 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:
· 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.
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 use of the organization's processes, methods, and tools available to the people in the organization as appropriate.
8. 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.
9. Establish and maintain records of the organization's processimprovement
activities.

Organizational Process Focus: Speciifc Practice By Goal SG1

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.
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 concurrently. 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.
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 financial, technological,quality, human resource, 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 product 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.
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
· 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:
· 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 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
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. 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 and staff, and other relevant stakeholders
· Solicit inputs on process improvements from the 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
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.

Organizational Process Focus: CMMI Maturity Level 3

Abstract:

Planning and implementing organizational process improvement based on a thorough understanding of the current strengths and weaknesses of the organization’s processes and process assets is the main focus of organizational processes.


The organization's processes include the organization's set of standard processes and the defined processes that are tailored from them. The organizational process assets are used to establish, maintain,implement, and improve the defined processes.

Candidate improvements to the organizational 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.

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.


Specific and Generic Goals
SG 1 Determine Process-Improvement Opportunities
Strengths, weaknesses, and improvement opportunities for the organization's processes are identified periodically and as needed.
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.
GG 3 Institutionalize a Defined Process

The process is institutionalized as a defined process.

Validation: Institutionalize a Defined Process

The process is institutionalized as a defined process.
Commitment to Perform
GP 2.1 (CO 1) Establish an Organizational Policy
Establish and maintain an organizational policy for planning and performing the validation process.

Elaboration:
This policy establishes organizational expectations for selecting products and product components for validation; for selecting validation methods; and for establishing and maintaining validation procedures,
criteria, and environments that ensure the products and product components satisfy user needs in their intended operating environment.

Ability to Perform
GP 3.1 (AB 1) Establish a Defined Process
Establish and maintain the description of a defined validation process.

GP 2.2 (AB 2) Plan the Process
Establish and maintain the plan for performing the validation process.
Elaboration:
Typically, this plan for performing the validation process is included in (or referenced by) the project plan, which is described in the Project Planning process area.

GP 2.3 (AB 3) Provide Resources
Provide adequate resources for performing the validation process, developing the work products, and providing the services of the process.
Elaboration:
Special facilities may be required for validating the product or product components. When necessary, the facilities required for validation are developed or purchased.
Examples of other resources provided include the following tools:
· Test management tools
· Test-case generators
· Test-coverage analyzers
· Simulators
· Load, stress, and performance tools

GP 2.4 (AB 4) Assign Responsibility
Assign responsibility and authority for performing the process,developing the work products, and providing the services of the validation process.

GP 2.5 (AB 5) Train People
Train the people performing or supporting the validation process as needed.
Elaboration:
Examples of training topics include the following:
· Application domain
· Validation principles, standards, and methods
· Intended-use environment

Directing Implementation
GP 2.6 (DI 1) Manage Configurations
Place designated work products of the validation process under appropriate levels of configuration management.
Elaboration:
Examples of work products placed under configuration management include the following:
· Lists of products and product components selected for validation
· Validation methods, procedures, and criteria
· Validation reports

GP 2.7 (DI 2) Identify and Involve Relevant Stakeholders
Identify and involve the relevant stakeholders of the validation process as planned.
Elaboration:
Select relevant stakeholders from customers, end users, developers,producers, testers, suppliers, marketers, maintainers, disposal personnel, and others who may be affected by, or may affect, the product as well as the process.
Examples of activities for stakeholder involvement include the following:
· Selecting the products and product components to be validated
· Establishing the validation methods, procedures, and criteria
· Reviewing results of product and product-component validation and resolving issues
· Resolving issues with the customers or end users
Issues with the customers or end users are resolved particularly when there are significant deviations from their baseline needs for the following:
· Waivers on the contract or agreement (what, when, and for which products, services, or manufactured products)
· Additional in-depth studies, trials, tests, or evaluations
· Possible changes in the contracts or agreements

GP 2.8 (DI 3) Monitor and Control the Process
Monitor and control the validation 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 validation activities completed (planned versus actual)
· Validation problem report trends (e.g., number written and number closed)
· Validation problem report aging (i.e., how long each problem report has been open)

GP 3.2 (DI 4) Collect Improvement Information
Collect work products, measures, measurement results, and improvement information derived from planning and performing the validation process to support the future use and improvement of the organization’s processes and process assets.

Verifying Implementation
GP 2.9 (VE 1) Objectively Evaluate Adherence
Objectively evaluate adherence of the validation process against its process description, standards, and procedures, and address noncompliance.
Elaboration:
Examples of activities reviewed include the following:
· Selecting the products and product components to be validated
· Establishing and maintaining validation methods, procedures, and criteria
· Validating products or product components
Examples of work products reviewed include the following:
· Validation methods, procedures, and criteria

GP 2.10 (VE 2) Review Status with Higher Level Management
Review the activities, status, and results of the validation process with higher level management and resolve issues.

Validate Product or Product Components: Specific Practices By Goal SG2

The product or product components are validated to ensure that they are suitable for use in their intended operating environment.
The validation methods, procedures, and criteria are used to validate the selected products and product components and any associated maintenance, training, and support services using the appropriate validation environment.

SP 2.1 Perform Validation
Perform validation on the selected products and product components.
To be acceptable to users, a product or product component must perform as expected in its intended operational environment.
Validation activities are performed and the resulting data are collected according to the established methods, procedures, and criteria.
The as-run validation procedures should be documented and the deviations occurring during the execution should be noted, as appropriate.
(For users of the continuous representation, this is a capability level 1 specific practice. Validation processes at capability level 1 or 2 may not include procedures and criteria, which are created in the Establish
Validation Procedures and Criteria specific practice at capability level 3. When there are no procedures or criteria established, use the methods established by the Select Products for Validation specific practice to
accomplish capability level 1 performance.)

Typical Work Products
1. Validation reports
2. Validation results
3. Validation cross-reference matrix
4. As-run procedures log
5. Operational demonstrations

SP 2.2 Analyze Validation Results
Analyze the results of the validation activities and identify issues.
The data resulting from validation tests, inspections, demonstrations, or evaluations are analyzed against the defined validation criteria. Analysis reports indicate whether the needs were met; in the case of deficiencies, these reports document the degree of success or failure and categorize probable cause of failure. The collected test, inspection, or review results are compared with established evaluation criteria to determine whether to proceed or to address requirements or design issues in the requirements development or technical solution processes.
Analysis reports or as-run validation documentation may also indicate that bad test results are due to a validation procedure problem or a validation environment problem.

Typical Work Products
1. Validation deficiency reports
2. Validation issues
3. Procedure change request
Subpractices
1. Compare actual results to expected results.
2. Based on the established validation criteria, identify products and product components that do not perform suitably in their intended operating environments, or identify problems with the methods,
criteria, and/or environment.
3. Analyze the validation data for defects.
4. Record the results of the analysis and identify issues.
5. Use validation results to compare actual measurements and performance to intended use or operational need.

Prepare for Validation: Specific Practices By Goal SG1

Preparation activities include selecting products and product components for validation and establishing and maintaining the validation environment, procedures, and criteria. The items selected for validation may include only the product or it may include appropriate levels of the product components that are used to build the product. Any product or product component may be subject to validation, including replacement, maintenance, and training products, to name a few.
The environment required to validate the product or product component is prepared. The environment may be purchased or may be specified, designed, and built. The environments used for product integration and
verification may be considered in collaboration with the validation environment to reduce cost and improve efficiency or productivity.

SP 1.1 Select Products for Validation
Select products and product components to be validated and the validation methods that will be used for each.
Products and product components are selected for validation on the basis of their relationship to user needs. For each product component, the scope of the validation (e.g., operational behavior, maintenance, training, and user interface) should be determined.
The requirements and constraints for performing validation are collected. Then, validation methods are selected based on their ability to demonstrate that user needs are satisfied. The validation methods not only define the technical approach to product validation, but also drive the needs for the facilities, equipment, and environments. This may result in the generation of lower level product-component requirements that are handled by the requirements development processes. Derived requirements, such as interface requirements to test sets and test equipment, may be generated. These requirements are also passed to the requirements development processes to ensure that the product or product components can be validated in an environment that supports the methods.
Validation methods should be selected early in the life of the project so they are clearly understood and agreed to by the relevant stakeholders.
The validation methods address the development, maintenance, support, and training for the product or product component as appropriate.

Typical Work Products
1. Lists of products and product components selected for validation
2. Validation methods for each product or product component
3. Requirements for performing validation for each product or product component
4. Validation constraints for each product or product component
Subpractices
1. Identify the key principles, features, and phases for product or product-component validation throughout the life of the project.

SP 1.1 Select Products for Validation
Select products and product components to be validated and the validation methods that will be used for each.
Products and product components are selected for validation on the basis of their relationship to user needs. For each product component, the scope of the validation (e.g., operational behavior, maintenance, training, and user interface) should be determined.
The requirements and constraints for performing validation are collected. Then, validation methods are selected based on their ability to demonstrate that user needs are satisfied. The validation methods
not only define the technical approach to product validation, but also drive the needs for the facilities, equipment, and environments. This may result in the generation of lower level product-component
requirements that are handled by the requirements development processes. Derived requirements, such as interface requirements to test sets and test equipment, may be generated. These requirements are also passed to the requirements development processes to ensure that the product or product components can be validated in an environment that supports the methods.
Validation methods should be selected early in the life of the project so they are clearly understood and agreed to by the relevant stakeholders.
The validation methods address the development, maintenance, support, and training for the product or product component as appropriate.

Typical Work Products
1. Lists of products and product components selected for validation
2. Validation methods for each product or product component
3. Requirements for performing validation for each product or product component
4. Validation constraints for each product or product component
Subpractices
1. Identify the key principles, features, and phases for product or product-component validation throughout the life of the project.
· Real interfaced systems (e.g., aircraft for testing a radar with trajectory tracking facilities)
· Facilities and customer-supplied products
· The skilled people to operate or use all the above elements
· Dedicated computing or network test environment (e.g., pseudooperational telecommunications-network testbed or facility with actual trunks, switches, and systems established for realistic integration and validation trials)
Early selection of the products or product components to be validated, the work products to be used in the validation, and the validation methods is needed to ensure that the validation environment will be available when necessary.
The validation environment should be carefully controlled to provide for replication, analysis of results, and re-validation of problem areas.

Typical Work Products
1. Validation environment
Subpractices
1. Identify validation environment requirements.
2. Identify customer-supplied products.
3. Identify reuse items.
4. Identify test equipment and tools.
5. Identify validation resources that are available for reuse and modification.
6. Plan the availability of resources in detail.

SP 1.3 Establish Validation Procedures and Criteria
Establish and maintain procedures and criteria for validation.
Validation procedures and criteria are defined to ensure that the product or product component will fulfill its intended use when placed in its intended environment. Acceptance test cases and procedures may meet the need for validation procedures.
The validation procedures and criteria include test and evaluation of maintenance, training, and support services.
Examples of sources for validation criteria include the following:
· Product and product-component requirements
· Standards
· Customer acceptance criteria
· Environmental performance
· Thresholds of performance deviation

Typical Work Products
1. Validation procedures
2. Validation criteria
3. Test and evaluation procedures for maintenance, training, and support
Subpractices
1. Review the product requirements to ensure that issues affecting validation of the product or product component are identified and resolved.
2. Document the environment, operational scenario, procedures, inputs, outputs, and criteria for the validation of the selected product or product component.
3. Assess the design as it matures in the context of the validation environment to identify validation issues.

Validation: CMMI Maturity Level 3

Abstract:
Demonstartion of a product or product component fulfills its intended use when placed in its intended environment is the sole purpose of validation.

Validation activities can be applied to all aspects of the product in any of its intended environments, such as operation, training, manufacturing, maintenance, and support services. The methods employed to
accomplish validation can be applied to work products as well as to the product and product components. The work products (e.g.,requirements, designs, prototypes) should be selected on the basis of which are the best predictors of how well the product and product component will satisfy user needs.
The validation environment should represent the intended environment for the product and product components as well as represent the intended environment suitable for validation activities with work
products.
Validation demonstrates that the product, as provided, will fulfill its intended use; whereas, verification addresses whether the work product properly reflects the specified requirements. In other words, verification ensures that “you built it right;” whereas, validation ensures that “you built the right thing.” Validation activities use approaches similar to verification (e.g., test, analysis, inspection, demonstration, or
simulation). Often, the end users are involved in the validation activities.Both validation and verification activities often run concurrently and may use portions of the same environment.
Where possible, validation should be accomplished using the product or product component operating in its intended environment. The entire environment may be used or only part of it. However, validation issues can be discovered early in the life of the project using work products.
When validation issues are identified, they are referred to the processes associated with the Requirements Development, Technical Solution, or Project Monitoring and Control process areas for resolution.
The specific practices of this process area build on each other in the following way. The Select Products for Validation specific practice enables the identification of the product or product component to be validated and the methods to be used to perform the validation. The Establish the Validation Environment specific practice enables the determination of the environment that will be used to carry out the validation. The Establish Validation Procedures and Criteria specific practice enables the development of validation procedures and criteria that are aligned with the characteristics of selected products, customer constraints on validation, methods, and the validation environment. The Perform Validation specific practice enables the performance of validation according to the methods, procedures, and criteria.

Specific and Generic Goals
SG 1 Prepare for Validation
Preparation for validation is conducted.
SG 2 Validate Product or Product Components
The product or product components are validated to ensure that they are suitable for use in their intended operating environment.
GG 3 Institutionalize a Defined Process
The process is institutionalized as a defined process.

Verification: Specific Practices by Goal SG3

Verification of Selected Work Products
SP 3.1 Perform Verification
Perform verification on the selected work products. Verifying products and work products incrementally promotes early detection of problems and can result in the early removal of defects. These results of verification save considerable cost of fault isolation and rework associated with troubleshooting problems.
(For users of the continuous representation, this is a capability level 1 specific practice. Verification processes at capability level 1 or 2 may not include procedures and criteria, which are created in the Establish Verification Procedures and Criteria specific practice at capability level
3. When there are no procedures or criteria established, use the methods established by the Select Work Products for Verification specific practice to accomplish capability level 1 performance.)

Typical Work Products
1. Verification results
2. Verification reports
3. Demonstrations
4. As-run procedures log
Subpractices
1. Perform verification of selected work products against their requirements.
2. Record the results of verification activities.
3. Identify action items resulting from verification of work products.
4. Document the “as-run” verification method and the deviations from the available methods and procedures discovered during its performance.

SP 3.2 Analyze Verification Results and Identify Corrective Action
Analyze the results of all verification activities and identify corrective action. Actual results must be compared to established verification criteria to determine acceptability. The results of the analysis are recorded as evidence that verification was conducted.
For each work product, all available verification results are incrementally analyzed and corrective actions are initiated to ensure that the requirements have been met. Since a peer review is one of several verification methods, peer review data should be included in this analysis activity to ensure that the verification results are analyzed sufficiently. Analysis reports or “as-run” method documentation may also indicate that bad verification results are due to method problems, criteria problems, or a verification environment problem.

Typical Work Products
1. Analysis report (such as statistics on performances, causal analysis of nonconformances, comparison of the behavior between the real product and models, and trends)
2. Trouble reports
3. Change requests for the verification methods, criteria, and environment
4. Corrective actions to verification methods, criteria, and/or environment
Subpractices
1. Compare actual results to expected results.
2. Based on the established verification criteria, identify products that have not met their requirements or identify problems with the methods, procedures, criteria, and verification environment.
3. Analyze the verification data on defects.
4. Record all results of the analysis in a report.
5. Use verification results to compare actual measurements and performance to technical performance parameters.
6. Provide information on how defects may be resolved (including verification methods, criteria, and verification environment) and formalize it in a plan.

For Supplier Sourcing
Distribute pertinent verification results to the supplier of the work product.