CMMi Generic Goals & Practices
Overview
This section describes in detail all the generic goals and generic practices of CMMI—model components that directly address process institutionalization. As you address each process area, refer to this section for the details of all generic practices.
Institutionalization is an important concept in process improvement. When mentioned in the generic goal and generic practice descriptions, institutionalization implies that the process is ingrained in the way the work is performed and there is commitment and consistency to performing (i.e., executing) the process.
An institutionalized process is more likely to be retained during times of stress. When the requirements and objectives for the process change, however, the implementation of the process may also need to change to ensure that it remains effective. The generic practices describe activities that address these aspects of institutionalization.
The degree of institutionalization is embodied in the generic goals and expressed in the names of the processes associated with each goal as indicated in Table 6.1.
Table 6.1 Generic Goals and Process Names
The progression of process institutionalization is characterized in the following descriptions of each process.
A performed process is a process that accomplishes the work necessary to satisfy the specific goals of a process area.
A managed process is a performed process that is planned and executed in accordance with policy; employs skilled people having adequate resources to produce controlled outputs; involves relevant stakeholders; is monitored, controlled, and reviewed; and is evaluated for adherence to its process description.
The process can be instantiated by a project, group, or organizational function. Management of the process is concerned with institutionalization and the achievement of other specific objectives established for the process, such as cost, schedule, and quality objectives. The control provided by a managed process helps to ensure that the established process is retained during times of stress.
The requirements and objectives for the process are established by the organization. The status of the work products and services are visible to management at defined points (e.g., at major milestones, on completion of major tasks). Commitments are established among those who perform the work and the relevant stakeholders and are revised as necessary. Work products are reviewed with relevant stakeholders and are controlled. The work products and services satisfy their specified requirements.
A critical distinction between a performed process and a managed process is the extent to which the process is managed. A managed process is planned (the plan can be part of a more encompassing plan) and the execution of the process is managed against the plan. Corrective actions are taken when the actual results and execution deviate significantly from the plan. A managed process achieves the objectives of the plan and is institutionalized for consistent execution.
A defined process is a managed process that is tailored from the organization’s set of standard processes according to the organization’s tailoring guidelines; has a maintained process description; and contributes process related experiences to the organizational process assets.
Organizational process assets are artifacts that relate to describing, implementing, and improving processes. These artifacts are assets because they are developed or acquired to meet the business objectives of the organization and they represent investments by the organization that are expected to provide current and future business value.
The organization’s set of standard processes, which are the basis of the defined process, are established and improved over time. Standard processes describe the fundamental process elements that are expected in the defined processes. Standard processes also describe the relationships (e.g., the ordering, the interfaces) among these process elements. The organization-level infrastructure to support current and future use of the organization’s set of standard processes is established and improved over time. (See the definition of “standard process” in the glossary.)
A project’s defined process provides a basis for planning, performing, and improving the project’s tasks and activities. A project can have more than one defined process (e.g., one for developing the product and another for testing the product).
A defined process clearly states the following:
· Purpose
· Inputs
· Entry criteria
· Activities
· Roles
· Measures
· Verification steps
· Outputs
· Exit criteria
A critical distinction between a managed process and a defined process is the scope of application of the process descriptions, standards, and procedures. For a managed process, the process descriptions, standards, and procedures are applicable to a particular project, group, or organizational function. As a result, the managed processes of two projects in one organization can be different.
Another critical distinction is that a defined process is described in more detail and is performed more rigorously than a managed process. This distinction means that improvement information is easier to understand, analyze, and use. Finally, management of the defined process is based on the additional insight provided by an understanding of the interrelationships of the process activities and detailed measures of the process, its work products, and its services.
The generic goals evolve so that each goal provides a foundation for the next. Therefore, the following conclusions can be made:
· A managed process is a performed process.
· A defined process is a managed process.
Thus, applied sequentially and in order, the generic goals describe a process that is increasingly institutionalized from a performed process to a defined process.
Achieving GG 1 for a process area is equivalent to saying you achieve the specific goals of the process area.
Achieving GG 2 for a process area is equivalent to saying you manage the execution of processes associated with the process area. There is a policy that indicates you will perform the process. There is a plan for performing it. There are resources provided, responsibilities assigned, training on how to perform it, selected work products from performing the process are controlled, and so on. In other words, the process is planned and monitored just like any project or support activity.
Achieving GG 3 for a process area is equivalent to saying that an organizational standard process exists that can be tailored to result in the process you will use. Tailoring might result in making no changes to the standard process. In other words, the process used and the standard process can be identical. Using the standard process “as is” is tailoring because the choice is made that no modification is required.
Each process area describes multiple activities, some of which are repeatedly performed. You may need to tailor the way one of these activities is performed to account for new capabilities or circumstances. For example, you may have a standard for developing or obtaining organizational training that does not consider web-based training. When preparing to develop or obtain a web-based course, you may need to tailor the standard process to account for the particular challenges and benefits of web-based training.
This section describes all of the generic goals and generic practices, as well as their associated subpractices, notes, examples, and references. The generic goals are organized in numerical order, GG 1 through GG 3. The generic practices are also organized in numerical order under the generic goal they support.
The specific goals of the process area are supported by the process by transforming identifiable input work products into identifiable output work products.
GP 1.1 Perform Specific Practices
Perform the specific practices of the process area to develop work products and provide services to achieve the specific goals of the process area.
The purpose of this generic practice is to produce the work products and deliver the services that are expected by performing (i.e., executing) the process. These practices can be done informally without following a documented process description or plan. The rigor with which these practices are performed depends on the individuals managing and performing the work and can vary considerably.
The process is institutionalized as a managed process.
GP 2.1 Establish an Organizational Policy
Establish and maintain an organizational policy for planning and performing the process.
The purpose of this generic practice is to define the organizational expectations for the process and make these expectations visible to those members of the organization who are affected. In general, senior management is responsible for establishing and communicating guiding principles, direction, and expectations for the organization.
Not all direction from senior management will bear the label “policy.” The existence of appropriate organizational direction is the expectation of this generic practice, regardless of what it is called or how it is imparted.
CAR Elaboration
This policy establishes organizational expectations for identifying and systematically addressing causal analysis of selected outcomes.
CM Elaboration
This policy establishes organizational expectations for establishing and maintaining baselines, tracking and controlling changes to work products (under configuration management), and establishing and maintaining integrity of the baselines.
DAR Elaboration
This policy establishes organizational expectations for selectively analyzing possible decisions using a formal evaluation process that evaluates identified alternatives against established criteria. The policy should also provide guidance on which decisions require a formal evaluation process.
IPM Elaboration
This policy establishes organizational expectations for establishing and maintaining the project’s defined process from project startup through the life of the project, using the project’s defined process in managing the project, and coordinating and collaborating with relevant stakeholders.
MA Elaboration
This policy establishes organizational expectations for aligning measurement objectives and activities with identified information needs and project, organizational, or business objectives and for providing measurement results.
OPD Elaboration
This policy establishes organizational expectations for establishing and maintaining a set of standard processes for use by the organization, making organizational process assets available across the organization, and establishing rules and guidelines for teams.
OPF Elaboration
This policy establishes organizational expectations for determining process improvement opportunities for the processes being used and for planning, implementing, and deploying process improvements across the organization.
OPM Elaboration
This policy establishes organizational expectations for analyzing the organization’s business performance using statistical and other quantitative techniques to determine performance shortfalls, and identifying and deploying process and technology improvements that contribute to meeting quality and process performance objectives.
OPP Elaboration
This policy establishes organizational expectations for establishing and maintaining process performance baselines and process performance models for the organization’s set of standard processes.
OT Elaboration
This policy establishes organizational expectations for identifying the strategic training needs of the organization and providing that training.
PI Elaboration
This policy establishes organizational expectations for developing product integration strategies, procedures, and an environment; ensuring interface compatibility among product components; assembling the product components; and delivering the product and product components.
PMC Elaboration
This policy establishes organizational expectations for monitoring project progress and performance against the project plan and managing corrective action to closure when actual or results deviate significantly from the plan.
PP Elaboration
This policy establishes organizational expectations for estimating the planning parameters, making internal and external commitments, and developing the plan for managing the project.
PPQA Elaboration
This policy establishes organizational expectations for objectively evaluating whether processes and associated work products adhere to applicable process descriptions, standards, and procedures; and ensuring that noncompliance is addressed.
This policy also establishes organizational expectations for process and product quality assurance being in place for all projects. Process and product quality assurance must possess sufficient independence from project management to provide objectivity in identifying and reporting noncompliance issues.
QPM Elaboration
This policy establishes organizational expectations for using statistical and other quantitative techniques and historical data when: establishing quality and process performance objectives, composing the project’s defined process, selecting subprocess attributes critical to understanding process performance, monitoring subprocess and project performance, and performing root cause analysis to address process performance deficiencies. In particular, this policy establishes organizational expectations for use of process performance measures, baselines, and models.
RD Elaboration
This policy establishes organizational expectations for collecting stakeholder needs, formulating product and product component requirements, and analyzing and validating those requirements.
REQM Elaboration
This policy establishes organizational expectations for managing requirements and identifying inconsistencies between the requirements and the project plans and work products.
RSKM Elaboration
This policy establishes organizational expectations for defining a risk management strategy and identifying, analyzing, and mitigating risks.
SAM Elaboration
This policy establishes organizational expectations for establishing, maintaining, and satisfying supplier agreements.
TS Elaboration
This policy establishes organizational expectations for addressing the iterative cycle in which product or product component solutions are selected, designs are developed, and designs are implemented.
VAL 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 end user needs in their intended operating environment.
VER Elaboration
This policy establishes organizational expectations for establishing and maintaining verification methods, procedures, criteria, and the verification environment, as well as for performing peer reviews and verifying selected work products.
GP 2.2 Plan the Process
Establish and maintain the plan for performing the process.
The purpose of this generic practice is to determine what is needed to perform the process and to achieve the established objectives, to prepare a plan for performing the process, to prepare a process description, and to get agreement on the plan from relevant stakeholders.
The practical implications of applying a generic practice vary for each process area.
For example, the planning described by this generic practice as applied to the Project Monitoring and Control process area can be carried out in full by the processes associated with the Project Planning process area. However, this generic practice, when applied to the Project Planning process area, sets an expectation that the project planning process itself be planned.
Therefore, this generic practice can either reinforce expectations set elsewhere in CMMI or set new expectations that should be addressed.
Refer to the Project Planning process area for more information about establishing and maintaining plans that define project activities.
Establishing a plan includes documenting the plan and a process description. Maintaining the plan includes updating it to reflect corrective actions or changes in requirements or objectives.
The plan for performing the process typically includes the following:
· Process description
· Standards and requirements for the work products and services of the process
· Specific objectives for the execution of the process and its results (e.g., quality, time scale, cycle time, use of resources)
· Dependencies among the activities, work products, and services of the process
· Resources (e.g., funding, people, tools) needed to perform the process
· Assignment of responsibility and authority
· Training needed for performing and supporting the process
· Work products to be controlled and the level of control to be applied
· Measurement requirements to provide insight into the execution of the process, its work products, and its services
· Involvement of relevant stakeholders
· Activities for monitoring and controlling the process
· Objective evaluation activities of the process
· Management review activities for the process and the work products
Subpractices
1. Define and document the plan for performing the process.
This plan can be a stand-alone document, embedded in a more comprehensive document, or distributed among multiple documents. In the case of the plan being distributed among multiple documents, ensure that a coherent picture of who does what is preserved. Documents can be hardcopy or softcopy.
2. Define and document the process description.
The process description, which includes relevant standards and procedures, can be included as part of the plan for performing the process or can be included in the plan by reference.
3. Review the plan with relevant stakeholders and get their agreement.
This review of the plan includes reviewing that the planned process satisfies the applicable policies, plans, requirements, and standards to provide assurance to relevant stakeholders.
4. Revise the plan as necessary.
CAR Elaboration
This plan for performing the causal analysis and resolution process can be included in (or referenced by) the project plan, which is described in the Project Planning process area. This plan differs from the action proposals and associated action plans described in several specific practices in this process area. The plan called for in this generic practice would address the project’s overall causal analysis and resolution process (perhaps tailored from a standard process maintained by the organization). In contrast, the process action proposals and associated action items address the activities needed to address a specific root cause under study.
CM Elaboration
This plan for performing the configuration management process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.
DAR Elaboration
This plan for performing the decision analysis and resolution process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.
IPM Elaboration
This plan for the integrated project management process unites the planning for the project planning and monitor and control processes. The planning for performing the planning related practices in Integrated Project Management is addressed as part of planning the project planning process. This plan for performing the monitor-and-control related practices in Integrated Project Management can be included in (or referenced by) the project plan, which is described in the Project Planning process area.
MA Elaboration
This plan for performing the measurement and analysis process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.
OPD Elaboration
This plan for performing the organizational process definition process can be part of (or referenced by) the organization’s process improvement plan.
OPF Elaboration
This 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 establishing organizational process needs through incorporating process related experiences into organizational process assets.
OPM Elaboration
This plan for performing the organizational performance management process differs from the deployment plans described in a specific practice 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 maintaining business objectives to evaluating improvement effects. In contrast, the deployment plans called for in the specific practice would address the planning needed for the deployment of selected improvements.
OPP Elaboration
This plan for performing the organizational process performance process can be included in (or referenced by) the organization’s process improvement plan, which is described in the Organizational Process Focus process area. Or it may be documented in a separate plan that describes only the plan for the organizational process performance process.
OT Elaboration
This plan for performing the organizational training process differs from the tactical plan for organizational training described in a specific practice 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 establishing strategic training needs through assessing the effectiveness of organizational training. In contrast, the organizational training tactical plan called for in the specific practice of this process area addresses the periodic planning for the delivery of training offerings.
PI Elaboration
This plan for performing the product integration process addresses the comprehensive planning for all of the specific practices in this process area, from the preparation for product integration all the way through to the delivery of the final product.
This plan for performing the product integration process can be part of (or referenced by) the project plan as described in the Project Planning process area.
PMC Elaboration
This plan for performing the project monitoring and control process can be part of (or referenced by) the project plan, as described in the Project Planning process area.
PP Elaboration
Refer to Table 6.2 in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.2 and the Project Planning process area.
PPQA Elaboration
This plan for performing the process and product quality assurance process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.
QPM Elaboration
This plan for performing the quantitative project management process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.
RD Elaboration
This plan for performing the requirements development process can be part of (or referenced by) the project plan as described in the Project Planning process area.
REQM Elaboration
This plan for performing the requirements management process can be part of (or referenced by) the project plan as described in the Project Planning process area.
RSKM Elaboration
This plan for performing the risk management process can be included in (or referenced by) the project plan, which is described in the Project Planning process area. The plan called for in this generic practice addresses the comprehensive planning for all of the specific practices in this process area. In particular, this plan provides the overall approach for risk mitigation, but is distinct from mitigation plans (including contingency plans) for specific risks. In contrast, the risk mitigation plans called for in the specific practices of this process area addresses more focused items such as the levels that trigger risk handling activities.
SAM Elaboration
Portions of this plan for performing the supplier agreement management process can be part of (or referenced by) the project plan as described in the Project Planning process area. Often, however, some portions of the plan reside outside of the project with a group such as contract management.
TS Elaboration
This plan for performing the technical solution process can be part of (or referenced by) the project plan as described in the Project Planning process area.
VAL Elaboration
This plan for performing the validation process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.
VER Elaboration
This plan for performing the verification process can be included in (or referenced by) the project plan, which is described in the Project Planning process area.
GP 2.3 Provide Resources
Provide adequate resources for performing the process, developing the work products, and providing the services of the process.
The purpose of this generic practice is to ensure that the resources necessary to perform the process as defined by the plan are available when they are needed. Resources include adequate funding, appropriate physical facilities, skilled people, and appropriate tools.
The interpretation of the term “adequate” depends on many factors and can change over time. Inadequate resources may be addressed by increasing resources or by removing requirements, constraints, and commitments.
CAR Elaboration
Examples of resources provided include the following:
· Database management systems
· Process modeling tools
· Statistical analysis packages
CM Elaboration
Examples of resources provided include the following:
· Configuration management tools
· Data management tools
· Archiving and reproduction tools
· Database management systems
DAR Elaboration
Examples of resources provided include the following:
· Simulators and modeling tools
· Prototyping tools
· Tools for conducting surveys
IPM Elaboration
Examples of resources provided include the following:
· Problem tracking and trouble reporting packages
· Groupware
· Video conferencing
· Integrated decision database
· Integrated product support environments
MA Elaboration
Staff with appropriate expertise provide support for measurement and analysis activities. A measurement group with such a role may exist.
Examples of resources provided include the following:
· Statistical packages
· Packages that support data collection over networks
OPD Elaboration
A process group typically manages organizational process definition activities. This group typically is staffed by a core of professionals whose primary responsibility is coordinating organizational process improvement.
This group is supported by process owners and people with expertise in various disciplines such as the following:
· Project management
· The appropriate engineering disciplines
· Configuration management
· Quality assurance
Examples of resources provided include the following:
· Database management systems
· Process modeling tools
· Web page builders and browsers
OPF Elaboration
Examples of resources provided include the following:
· 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)
OPM Elaboration
Examples of resources provided include the following:
· Simulation packages
· Prototyping tools
· Statistical packages
· Dynamic systems modeling
· Subscriptions to online technology databases and publications
· Process modeling tools
OPP Elaboration
Special expertise in statistical and other quantitative techniques may be needed to establish process performance baselines for the organization’s set of standard processes.
Examples of resources provided include the following:
· Database management systems
· System dynamics models
· Process modeling tools
· Statistical analysis packages
· Problem tracking packages
OT Elaboration
Examples of resources provided include the following:
· Subject matter experts
· Curriculum designers
· Instructional designers
· Instructors
· Training administrators
Special facilities may be required for training. When necessary, the facilities required for the activities in the Organizational Training process area are developed or purchased.
Examples of resources provided include the following:
· Instruments for analyzing training needs
· Workstations to be used for training
· Instructional design tools
· Packages for developing presentation materials
PI Elaboration
Product component interface coordination can be accomplished with an Interface Control Working Group consisting of people who represent external and internal interfaces. Such groups can be used to elicit needs for interface requirements development.
Special facilities may be required for assembling and delivering the product. When necessary, the facilities required for the activities in the Product Integration process area are developed or purchased.
Examples of resources provided include the following:
· Prototyping tools
· Analysis tools
· Simulation tools
· Interface management tools
· Assembly tools (e.g., compilers, make files, joining tools, jigs, fixtures)
PMC Elaboration
Examples of resources provided include the following:
· Cost tracking systems
· Effort reporting systems
· Action item tracking systems
· Project management and scheduling programs
PP Elaboration
Special expertise, equipment, and facilities in project planning may be required.
Special expertise in project planning can include the following:
· Experienced estimators
· Schedulers
· Technical experts in applicable areas (e.g., product domain, technology)
Examples of resources provided include the following:
· Spreadsheet programs
· Estimating models
· Project planning and scheduling packages
PPQA Elaboration
Examples of resources provided include the following:
· Evaluation tools
· Noncompliance tracking tools
QPM Elaboration
Special expertise in statistics and its use in analyzing process performance may be needed to define the analytic techniques used in quantitative management. Special expertise in statistics can also be needed for analyzing and interpreting the measures resulting from statistical analyses; however, teams need sufficient expertise to support a basic understanding of their process performance as they perform their daily work.
Examples of resources provided include the following:
· Statistical analysis packages
· Statistical process and quality control packages
· Scripts and tools that assist teams in analyzing their own process performance with minimal need for additional expert assistance
RD Elaboration
Special expertise in the application domain, methods for eliciting stakeholder needs, and methods and tools for specifying and analyzing customer, product, and product component requirements may be required.
Examples of resources provided include the following:
· Requirements specification tools
· Simulators and modeling tools
· Prototyping tools
· Scenario definition and management tools
· Requirements tracking tools
REQM Elaboration
Examples of resources provided include the following:
· Requirements tracking tools
· Traceability tools
RSKM Elaboration
Examples of resources provided include the following:
· Risk management databases
· Risk mitigation tools
· Prototyping tools
· Modeling and simulation tools
SAM Elaboration
Examples of resources provided include the following:
· Preferred supplier lists
· Requirements tracking tools
· Project management and scheduling programs
TS Elaboration
Special facilities may be required for developing, designing, and implementing solutions to requirements. When necessary, the facilities required for the activities in the Technical Solution process area are developed or purchased.
Examples of resources provided include the following:
· Design specification tools
· Simulators and modeling tools
· Prototyping tools
· Scenario definition and management tools
· Requirements tracking tools
· Interactive documentation tools
VAL 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 resources provided include the following:
· Test management tools
· Test case generators
· Test coverage analyzers
· Simulators
· Load, stress, and performance testing tools
VER Elaboration
Special facilities may be required for verifying selected work products. When necessary, the facilities required for the activities in the Verification process area are developed or purchased.
Certain verification methods can require special tools, equipment, facilities, and training (e.g., peer reviews can require meeting rooms and trained moderators; certain verification tests can require special test equipment and people skilled in the use of the equipment).
Examples of resources provided include the following:
· Test management tools
· Test case generators
· Test coverage analyzers
· Simulators
GP 2.4 Assign Responsibility
Assign responsibility and authority for performing the process, developing the work products, and providing the services of the process.
The purpose of this generic practice is to ensure that there is accountability for performing the process and achieving the specified results throughout the life of the process. The people assigned must have the appropriate authority to perform the assigned responsibilities.
Responsibility can be assigned using detailed job descriptions or in living documents, such as the plan for performing the process. Dynamic assignment of responsibility is another legitimate way to implement this generic practice, as long as the assignment and acceptance of responsibility are ensured throughout the life of the process.
Subpractices
1. Assign overall responsibility and authority for performing the process.
2. Assign responsibility and authority for performing the specific tasks of the process.
3. Confirm that the people assigned to the responsibilities and authorities understand and accept them.
OPF 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.
PPQA Elaboration
Responsibility is assigned to those who can perform process and product quality assurance evaluations with sufficient independence and objectivity to guard against subjectivity or bias.
TS Elaboration
Appointing a lead or chief architect that oversees the technical solution and has authority over design decisions helps to maintain consistency in product design and evolution.
GP 2.5 Train People
Train the people performing or supporting the process as needed.
The purpose of this generic practice is to ensure that people have the necessary skills and expertise to perform or support the process.
Appropriate training is provided to those who will be performing the work. Overview training is provided to orient people who interact with those who perform the work.
Examples of methods for providing training include self study; self-directed training; self-paced, programmed instruction; formalized on-the-job training; mentoring; and formal and classroom training.
Training supports the successful execution of the process by establishing a common understanding of the process and by imparting the skills and knowledge needed to perform the process.
Refer to the Organizational Training process area for more information about developing skills and knowledge of people so they can perform their roles effectively and efficiently.
CAR Elaboration
Examples of training topics include the following:
· Quality management methods (e.g., root cause analysis)
CM Elaboration
Examples of training topics include the following:
· Roles, responsibilities, and authority of the configuration management staff
· Configuration management standards, procedures, and methods
· Configuration library system
DAR Elaboration
Examples of training topics include the following:
· Formal decision analysis
· Methods for evaluating alternative solutions against criteria
IPM Elaboration
Examples of training topics include the following:
· Tailoring the organization’s set of standard processes to meet the needs of the project
· Managing the project based on the project’s defined process
· Using the organization’s measurement repository
· Using the organizational process assets
· Integrated management
· Intergroup coordination
· Group problem solving
MA Elaboration
Examples of training topics include the following:
· Statistical techniques
· Data collection, analysis, and reporting processes
· Development of goal related measurements (e.g., Goal Question Metric)
OPD Elaboration
Examples of training topics include the following:
· CMMI and other process and process improvement reference models
· Planning, managing, and monitoring processes
· Process modeling and definition
· Developing a tailorable standard process
· Developing work environment standards
· Ergonomics
OPF Elaboration
Examples of training topics include the following:
· CMMI and other process improvement reference models
· Planning and managing process improvement
· Tools, methods, and analysis techniques
· Process modeling
· Facilitation techniques
· Change management
OPM Elaboration
Examples of training topics include the following:
· Cost benefit analysis
· Planning, designing, and conducting pilots
· Technology transition
· Change management
OPP Elaboration
Examples of training topics include the following:
· Process and process improvement modeling
· Statistical and other quantitative methods (e.g., estimating models, Pareto analysis, control charts)
OT Elaboration
Examples of training topics include the following:
· Knowledge and skills needs analysis
· Instructional design
· Instructional techniques (e.g., train the trainer)
· Refresher training on subject matter
PI Elaboration
Examples of training topics include the following:
· Application domain
· Product integration procedures and criteria
· Organization’s facilities for integration and assembly
· Assembly methods
· Packaging standards
PMC Elaboration
Examples of training topics include the following:
· Monitoring and control of projects
· Risk management
· Data management
PP Elaboration
Examples of training topics include the following:
· Estimating
· Budgeting
· Negotiating
· Identifying and analyzing risks
· Managing data
· Planning
· Scheduling
PPQA Elaboration
Examples of training topics include the following:
· Application domain
· Customer relations
· Process descriptions, standards, procedures, and methods for the project
· Quality assurance objectives, process descriptions, standards, procedures, methods, and tools
QPM Elaboration
Examples of training topics include the following:
· Basic quantitative (including statistical) analyses that help in analyzing process performance, using historical data, and identifying when corrective action is warranted
· Process modeling and analysis
· Process measurement data selection, definition, and collection
RD Elaboration
Examples of training topics include the following:
· Application domain
· Requirements definition and analysis
· Requirements elicitation
· Requirements specification and modeling
· Requirements tracking
REQM Elaboration
Examples of training topics include the following:
· Application domain
· Requirements definition, analysis, review, and management
· Requirements management tools
· Configuration management
· Negotiation and conflict resolution
RSKM Elaboration
Examples of training topics include the following:
· Risk management concepts and activities (e.g., risk identification, evaluation, monitoring, mitigation)
· Measure selection for risk mitigation
SAM Elaboration
Examples of training topics include the following:
· Regulations and business practices related to negotiating and working with suppliers
· Acquisition planning and preparation
· Commercial off-the-shelf products acquisition
· Supplier evaluation and selection
· Negotiation and conflict resolution
· Supplier management
· Testing and transition of acquired products
· Receiving, storing, using, and maintaining acquired products
TS Elaboration
Examples of training topics include the following:
· Application domain of the product and product components
· Design methods
· Architecture methods
· Interface design
· Unit testing techniques
· Standards (e.g., product, safety, human factors, environmental)
VAL Elaboration
Examples of training topics include the following:
· Application domain
· Validation principles, standards, and methods
· Intended-use environment
VER Elaboration
Examples of training topics include the following:
· Application or service domain
· Verification principles, standards, and methods (e.g., analysis, demonstration, inspection, test)
· Verification tools and facilities
· Peer review preparation and procedures
· Meeting facilitation
GP 2.6 Control Work Products
Place selected work products of the process under appropriate levels of control.
The purpose of this generic practice is to establish and maintain the integrity of the selected work products of the process (or their descriptions) throughout their useful life.
The selected work products are specifically identified in the plan for performing the process, along with a specification of the appropriate level of control.
Different levels of control are appropriate for different work products and for different points in time. For some work products, it may be sufficient to maintain version control so that the version of the work product in use at a given time, past or present, is known and changes are incorporated in a controlled manner. Version control is usually under the sole control of the work product owner (which can be an individual, group, or team).
Sometimes, it can be critical that work products be placed under formal or baseline configuration management. This type of control includes defining and establishing baselines at predetermined points. These baselines are formally reviewed and approved, and serve as the basis for further development of the designated work products.
Refer to the Configuration Management process area for more information about establishing and maintaining the integrity of work products using configuration identification, configuration control, configuration status accounting, and configuration audits.
Additional levels of control between version control and formal configuration management are possible. An identified work product can be under various levels of control at different points in time.
CAR Elaboration
Examples of work products placed under control include the following:
· Action proposals
· Action plans
· Causal analysis and resolution records
CM Elaboration
Examples of work products placed under control include the following:
· Access lists
· Change status reports
· Change request database
· CCB meeting minutes
· Archived baselines
DAR Elaboration
Examples of work products placed under control include the following:
· Guidelines for when to apply a formal evaluation process
· Evaluation reports containing recommended solutions
IPM Elaboration
Examples of work products placed under control include the following:
· The project’s defined process
· Project plans
· Other plans that affect the project
· Integrated plans
· Actual process and product measurements collected from the project
· Project’s shared vision
· Team structure
· Team charters
MA Elaboration
Examples of work products placed under control include the following:
· Measurement objectives
· Specifications of base and derived measures
· Data collection and storage procedures
· Base and derived measurement data sets
· Analysis results and draft reports
· Data analysis tools
OPD Elaboration
Examples of work products placed under control include the following:
· Organization’s set of standard processes
· Descriptions of lifecycle models
· Tailoring guidelines for the organization’s set of standard processes
· Definitions of the common set of product and process measures
· Organization’s measurement data
· Rules and guidelines for structuring and forming teams
OPF Elaboration
Examples of work products placed under control include the following:
· Process improvement proposals
· Organization’s approved process action plans
· Training materials used for deploying organizational process assets
· Guidelines for deploying the organization’s set of standard processes on new projects
· Plans for the organization’s process appraisals
OPM Elaboration
Examples of work products placed under control include the following:
· Documented lessons learned from improvement validation
· Deployment plans
· Revised improvement measures, objectives, priorities
· Updated process documentation and training material
OPP Elaboration
Examples of work products placed under control include the following:
· Organization’s quality and process performance objectives
· Definitions of the selected measures of process performance
· Baseline data on the organization’s process performance
· Process performance models
OT Elaboration
Examples of work products placed under control include the following:
· Organizational training tactical plan
· Training records
· Training materials and supporting artifacts
· Instructor evaluation forms
PI Elaboration
Examples of work products placed under control include the following:
· Acceptance documents for the received product components
· Evaluated assembled product and product components
· Product integration strategy
· Product integration procedures and criteria
· Updated interface description or agreement
PMC Elaboration
Examples of work products placed under control include the following:
· Project schedules with status
· Project measurement data and analysis
· Earned value reports
PP Elaboration
Examples of work products placed under control include the following:
· Work breakdown structure
· Project plan
· Data management plan
· Stakeholder involvement plan
PPQA Elaboration
Examples of work products placed under control include the following:
· Noncompliance reports
· Evaluation logs and reports
QPM Elaboration
Examples of work products placed under control include the following:
· Subprocesses to be included in the project’s defined process
· Operational definitions of the measures, their collection points in the subprocesses, and how the integrity of the measures will be determined
· Collected measurements
RD Elaboration
Examples of work products placed under control include the following:
· Customer functional and quality attribute requirements
· Definition of required functionality and quality attributes
· Product and product component requirements
· Interface requirements
REQM Elaboration
Examples of work products placed under control include the following:
· Requirements
· Requirements traceability matrix
RSKM Elaboration
Examples of work products placed under control include the following:
· Risk management strategy
· Identified risk items
· Risk mitigation plans
SAM Elaboration
Examples of work products placed under control include the following:
· Statements of work
· Supplier agreements
· Memoranda of agreement
· Subcontracts
· Preferred supplier lists
TS Elaboration
Examples of work products placed under control include the following:
· Product, product component, and interface designs
· Technical data packages
· Interface design documents
· Criteria for design and product component reuse
· Implemented designs (e.g., software code, fabricated product components)
· User, installation, operation, and maintenance documentation
VAL Elaboration
Examples of work products placed under control include the following:
· Lists of products and product components selected for validation
· Validation methods, procedures, and criteria
· Validation reports
VER Elaboration
Examples of work products placed under control include the following:
· Verification procedures and criteria
· Peer review training material
· Peer review data
· Verification reports
GP 2.7 Identify and Involve Relevant Stakeholders
Identify and involve the relevant stakeholders of the process as planned.
The purpose of this generic practice is to establish and maintain the expected involvement of relevant stakeholders during the execution of the process.
Involve relevant stakeholders as described in an appropriate plan for stakeholder involvement. Involve stakeholders appropriately in activities such as the following:
· Planning
· Decisions
· Commitments
· Communications
· Coordination
· Reviews
· Appraisals
· Requirements definitions
· Resolution of problems and issues
Refer to the Project Planning process area for more information about planning stakeholder involvement.
The objective of planning stakeholder involvement is to ensure that interactions necessary to the process are accomplished, while not allowing excessive numbers of affected groups and individuals to impede process execution.
Examples of stakeholders that might serve as relevant stakeholders for specific tasks, depending on context, include individuals, teams, management, customers, suppliers, end users, operations and support staff, other projects, and government regulators.
Subpractices
1. Identify stakeholders relevant to this process and their appropriate involvement.
Relevant stakeholders are identified among the suppliers of inputs to, the users of outputs from, and the performers of the activities in the process. Once the relevant stakeholders are identified, the appropriate level of their involvement in process activities is planned.
2. Share these identifications with project planners or other planners as appropriate.
3. Involve relevant stakeholders as planned.
CAR Elaboration
Examples of activities for stakeholder involvement include the following:
· Conducting causal analysis
· Assessing action proposals
CM Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing baselines
· Reviewing configuration management system reports and resolving issues
· Assessing the impact of changes for configuration items
· Performing configuration audits
· Reviewing results of configuration management audits
DAR Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing guidelines for which issues are subject to a formal evaluation process
· Defining the issue to be addressed
· Establishing evaluation criteria
· Identifying and evaluating alternatives
· Selecting evaluation methods
· Selecting solutions
IPM Elaboration
Examples of activities for stakeholder involvement include the following:
· Resolving issues about the tailoring of organizational process assets
· Resolving issues among the project plan and other plans that affect the project
· Reviewing project progress and performance to align with current and projected needs, objectives, and requirements
· Creating the project’s shared vision
· Defining the team structure for the project
· Populating teams
MA Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing measurement objectives and procedures
· Assessing measurement data
· Providing meaningful feedback to those who are responsible for providing the raw data on which the analysis and results depend
OPD Elaboration
Examples of activities for stakeholder involvement include the following:
· Reviewing the organization’s set of standard processes
· Reviewing the organization’s lifecycle models
· Resolving issues related to the tailoring guidelines
· Assessing definitions of the common set of process and product measures
· Reviewing work environment standards
· Establishing and maintaining empowerment mechanisms
· Establishing and maintaining organizational rules and guidelines for structuring and forming teams
OPF 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, 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 planning, implementing, and deploying process improvements
OPM Elaboration
Examples of activities for stakeholder involvement include the following:
· Reviewing improvement proposals that could contribute to meeting business objectives
· Providing feedback to the organization on the readiness, status, and results of the improvement deployment activities
The feedback typically involves the following:
· Informing the people who submit improvement proposals about the disposition of their proposals
· Regularly communicating the results of comparing business performance against the business objectives
· Regularly informing relevant stakeholders about the plans and status for selecting and deploying improvements
· Preparing and distributing a summary of improvement selection and deployment activities
OPP Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing the organization’s quality and process performance objectives and their priorities
· Reviewing and resolving issues on the organization’s process performance baselines
· Reviewing and resolving issues on the organization’s process performance models
OT Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing a collaborative environment for discussion of training needs and training effectiveness to ensure that the organization’s training needs are met
· Identifying training needs
· Reviewing the organizational training tactical plan
· Assessing training effectiveness
PI Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing the product integration strategy
· Reviewing interface descriptions for completeness
· Establishing the product integration procedures and criteria
· Assembling and delivering the product and product components
· Communicating the results after evaluation
· Communicating new, effective product integration processes to give affected people the opportunity to improve their process performance
PMC Elaboration
Examples of activities for stakeholder involvement include the following:
· Assessing the project against the plan
· Reviewing commitments and resolving issues
· Reviewing project risks
· Reviewing data management activities
· Reviewing project progress
· Managing corrective actions to closure
PP Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing estimates
· Reviewing and resolving issues on the completeness and correctness of the project risks
· Reviewing data management plans
· Establishing project plans
· Reviewing project plans and resolving issues on work and resource issues
PPQA Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing criteria for the objective evaluations of processes and work products
· Evaluating processes and work products
· Resolving noncompliance issues
· Tracking noncompliance issues to closure
QPM Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing project objectives
· Resolving issues among the project’s quality and process performance objectives
· Selecting analytic techniques to be used
· Evaluating the process performance of selected subprocesses
· Identifying and managing the risks in achieving the project’s quality and process performance objectives
· Identifying what corrective action should be taken
RD Elaboration
Examples of activities for stakeholder involvement include the following:
· Reviewing the adequacy of requirements in meeting needs, expectations, constraints, and interfaces
· Establishing operational concepts and operational, sustainment, and development scenarios
· Assessing the adequacy of requirements
· Prioritizing customer requirements
· Establishing product and product component functional and quality attribute requirements
· Assessing product cost, schedule, and risk
REQM Elaboration
Examples of activities for stakeholder involvement include the following:
· Resolving issues on the understanding of requirements
· Assessing the impact of requirements changes
· Communicating bidirectional traceability
· Identifying inconsistencies among requirements, project plans, and work products
RSKM Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing a collaborative environment for free and open discussion of risk
· Reviewing the risk management strategy and risk mitigation plans
· Participating in risk identification, analysis, and mitigation activities
· Communicating and reporting risk management status
SAM Elaboration
Examples of activities for stakeholder involvement include the following:
· Establishing criteria for evaluation of potential suppliers
· Reviewing potential suppliers
· Establishing supplier agreements
· Resolving issues with suppliers
· Reviewing supplier performance
TS Elaboration
Examples of activities for stakeholder involvement include the following:
· Developing alternative solutions and selection criteria
· Obtaining approval on external interface specifications and design descriptions
· Developing the technical data package
· Assessing the make, buy, or reuse alternatives for product components
· Implementing the design
VAL Elaboration
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. Examples of resolutions include the following:
· Waivers on the contract or agreement (what, when, and for which products)
· Additional in-depth studies, trials, tests, or evaluations
· Possible changes in the contracts or agreements
VER Elaboration
Examples of activities for stakeholder involvement include the following:
· Selecting work products and methods for verification
· Establishing verification procedures and criteria
· Conducting peer reviews
· Assessing verification results and identifying corrective action
GP 2.8 Monitor and Control the Process
Monitor and control the process against the plan for performing the process and take appropriate corrective action.
The purpose of this generic practice is to perform the direct day-to-day monitoring and controlling of the process. Appropriate visibility into the process is maintained so that appropriate corrective action can be taken when necessary. Monitoring and controlling the process can involve measuring appropriate attributes of the process or work products produced by the process.
Refer to the Measurement and Analysis process area for more information about developing and sustaining a measurement capability used to support management information needs.
Refer to the Project Monitoring and Control process area for more information about providing an understanding of the project’s progress so that appropriate corrective actions can be taken when the project’s performance deviates significantly from the plan.
Subpractices
1. Evaluate actual progress and performance against the plan for performing the process.
The evaluations are of the process, its work products, and its services.
2. Review accomplishments and results of the process against the plan for performing the process.
3. Review activities, status, and results of the process with the immediate level of management responsible for the process and identify issues.
These reviews are intended to provide the immediate level of management with appropriate visibility into the process based on the day-to-day monitoring and controlling of the process, and are supplemented by periodic and event-driven reviews with higher level management as described in GP 2.10.
4. Identify and evaluate the effects of significant deviations from the plan for performing the process.
5. Identify problems in the plan for performing the process and in the execution of the process.
6. Take corrective action when requirements and objectives are not being satisfied, when issues are identified, or when progress differs significantly from the plan for performing the process.
Inherent risks should be considered before any corrective action is taken.
Corrective action can include the following:
· Taking remedial action to repair defective work products or services
· Changing the plan for performing the process
· Adjusting resources, including people, tools, and other resources
· Negotiating changes to the established commitments
· Securing change to the requirements and objectives that must be satisfied
· Terminating the effort
7. Track corrective action to closure.
CAR Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of outcomes analyzed
· Change in quality or process performance per instance of the causal analysis and resolution process
· Schedule of activities for implementing a selected action proposal
CM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of changes to configuration items
· Number of configuration audits conducted
· Schedule of CCB or audit activities
DAR Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Cost-to-benefit ratio of using formal evaluation processes
· Schedule for the execution of a trade study
IPM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of changes to the project’s defined process
· Schedule and effort to tailor the organization’s set of standard processes
· Interface coordination issue trends (i.e., number identified and number closed)
· Schedule for project tailoring activities
· Project's shared vision usage and effectiveness
· Team structure usage and effectiveness
· Team charters usage and effectiveness
MA Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Percentage of projects using progress and performance measures
· Percentage of measurement objectives addressed
· Schedule for collection and review of measurement data
OPD Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Percentage of projects using the process architectures and process elements of the organization’s set of standard processes
· Defect density of each process element of the organization’s set of standard processes
· Schedule for development of a process or process change
OPF Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of process improvement proposals submitted, accepted, or implemented
· CMMI maturity level or capability level earned
· Schedule for deployment of an organizational process asset
· Percentage of projects using the current organization’s set of standard processes (or tailored version of the current set)
· Issue trends associated with implementing the organization’s set of standard processes (i.e., number of issues identified, number closed)
· Progress toward achievement of process needs and objectives
OPM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Change in quality and process performance related to business objectives
· Schedule for implementing and validating an improvement
· Schedule for activities to deploy a selected improvement
OPP Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Trends in the organization’s process performance with respect to changes in work products and task attributes (e.g., size growth, effort, schedule, quality)
· Schedule for collecting and reviewing measures to be used for establishing a process performance baseline
OT Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of training courses delivered (e.g., planned versus actual)
· Post-training evaluation ratings
· Training program quality survey ratings
· Schedule for delivery of training
· Schedule for development of a course
PI Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Product component integration profile (e.g., product component assemblies planned and performed, number of exceptions found)
· Integration evaluation problem report trends (e.g., number written and number closed)
· Integration evaluation problem report aging (i.e., how long each problem report has been open)
· Schedule for conduct of specific integration activities
PMC Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of open and closed corrective actions
· Schedule with status for monthly financial data collection, analysis, and reporting
· Number and types of reviews performed
· Review schedule (planned versus actual and slipped target dates)
· Schedule for collection and analysis of monitoring data
PP Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of revisions to the plan
· Cost, schedule, and effort variance per plan revision
· Schedule for development and maintenance of program plans
PPQA Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Variance of objective process evaluations planned and performed
· Variance of objective work product evaluations planned and performed
· Schedule for objective evaluations
QPM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Profile of subprocess attributes whose process performance provide insight about the risk to, or are key contributors to, achieving project objectives (e.g., number selected for monitoring through statistical techniques, number currently being monitored, number whose process performance is stable)
· Number of special causes of variation identified
· Schedule of data collection, analysis, and reporting activities in a measurement and analysis cycle as it relates to quantitative management activities
RD Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Cost, schedule, and effort expended for rework
· Defect density of requirements specifications
· Schedule for activities to develop a set of requirements
REQM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Requirements volatility (percentage of requirements changed)
· Schedule for coordination of requirements
· Schedule for analysis of a proposed requirements change
RSKM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of risks identified, managed, tracked, and controlled
· Risk exposure and changes to the risk exposure for each assessed risk, and as a summary percentage of management reserve
· Change activity for risk mitigation plans (e.g., processes, schedule, funding)
· Occurrence of unanticipated risks
· Risk categorization volatility
· Comparison of estimated versus actual risk mitigation effort and impact
· Schedule for risk analysis activities
· Schedule of actions for a specific mitigation
SAM Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of changes made to the requirements for the supplier
· Cost and schedule variance in accordance with the supplier agreement
· Schedule for selecting a supplier and establishing an agreement
TS Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Cost, schedule, and effort expended for rework
· Percentage of requirements addressed in the product or product component design
· Size and complexity of the product, product components, interfaces, and documentation
· Defect density of technical solutions work products
· Schedule for design activities
VAL Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Number of validation activities completed (planned versus actual)
· Validation problem report trends (e.g., number written, number closed)
· Validation problem report aging (i.e., how long each problem report has been open)
· Schedule for a specific validation activity
VER Elaboration
Examples of measures and work products used in monitoring and controlling include the following:
· Verification profile (e.g., the number of verifications planned and performed, and the defects found; or defects categorized by verification method or type)
· Number of defects detected by defect category
· Verification problem report trends (e.g., number written, number closed)
· Verification problem report status (i.e., how long each problem report has been open)
· Schedule for a specific verification activity
· Peer review effectiveness
GP 2.9 Objectively Evaluate Adherence
Objectively evaluate adherence of the process and selected work products against the process description, standards, and procedures, and address noncompliance.
The purpose of this generic practice is to provide credible assurance that the process and selected work products are implemented as planned and adhere to the process description, standards, and procedures. (See the definition of “objectively evaluate” in the glossary.)
Refer to the Process and Product Quality Assurance process area for more information about objectively evaluating processes and work products.
People not directly responsible for managing or performing the activities of the process typically evaluate adherence. In many cases, adherence is evaluated by people in the organization, but external to the process or project, or by people external to the organization. As a result, credible assurance of adherence can be provided even during times when the process is under stress (e.g., when the effort is behind schedule, when the effort is over budget).
CAR Elaboration
Examples of activities reviewed include the following:
· Determining causes of outcomes
· Evaluating results of action plans
Examples of work products reviewed include the following:
· Action proposals selected for implementation
· Causal analysis and resolution records
CM Elaboration
Examples of activities reviewed include the following:
· Establishing baselines
· Tracking and controlling changes
· Establishing and maintaining the integrity of baselines
Examples of work products reviewed include the following:
· Archives of baselines
· Change request database
DAR Elaboration
Examples of activities reviewed include the following:
· Evaluating alternatives using established criteria and methods
Examples of work products reviewed include the following:
· Guidelines for when to apply a formal evaluation process
· Evaluation reports containing recommended solutions
IPM Elaboration
Examples of activities reviewed include the following:
· Establishing, maintaining, and using the project’s defined process
· Coordinating and collaborating with relevant stakeholders
· Using the project's shared vision
· Organizing teams
Examples of work products reviewed include the following:
· Project’s defined process
· Project plans
· Other plans that affect the project
· Work environment standards
· Shared vision statements
· Team structure
· Team charters
MA Elaboration
Examples of activities reviewed include the following:
· Aligning measurement and analysis activities
· Providing measurement results
Examples of work products reviewed include the following:
· Specifications of base and derived measures
· Data collection and storage procedures
· Analysis results and draft reports
OPD Elaboration
Examples of activities reviewed include the following:
· Establishing organizational process assets
· Determining rules and guidelines for structuring and forming teams
Examples of work products reviewed include the following:
· Organization’s set of standard processes
· Descriptions of lifecycle models
· Tailoring guidelines for the organization’s set of standard processes
· Organization’s measurement data
· Empowerment rules and guidelines for people and teams
· Organizational process documentation
OPF Elaboration
Examples of activities reviewed include the following:
· Determining process improvement opportunities
· Planning and coordinating process improvement activities
· Deploying the organization’s set of standard processes on projects at their startup
Examples of work products reviewed include the following:
· Process improvement plans
· Process action plans
· Process deployment plans
· Plans for the organization’s process appraisals
OPM Elaboration
Examples of activities reviewed include the following:
· Analyzing process performance data to determine the organization’s ability to meet identified business objectives
· Selecting improvements using quantitative analysis
· Deploying improvements
· Measuring effectiveness of the deployed improvements using statistical and other quantitative techniques
Examples of work products reviewed include the following:
· Improvement proposals
· Deployment plans
· Revised improvement measures, objectives, priorities, and deployment plans
· Updated process documentation and training material
OPP Elaboration
Examples of activities reviewed include the following:
· Establishing process performance baselines and models
Examples of work products reviewed include the following:
· Process performance baselines
· Organization’s quality and process performance objectives
· Definitions of the selected measures of process performance
OT Elaboration
Examples of activities reviewed include the following:
· Identifying training needs and making training available
· Providing necessary training
Examples of work products reviewed include the following:
· Organizational training tactical plan
· Training materials and supporting artifacts
· Instructor evaluation forms
PI Elaboration
Examples of activities reviewed include the following:
· Establishing and maintaining a product integration strategy
· Ensuring interface compatibility
· Assembling product components and delivering the product
Examples of work products reviewed include the following:
· Product integration strategy
· Product integration procedures and criteria
· Acceptance documents for the received product components
· Assembled product and product components
PMC Elaboration
Examples of activities reviewed include the following:
· Monitoring project progress and performance against the project plan
· Managing corrective actions to closure
Examples of work products reviewed include the following:
· Records of project progress and performance
· Project review results
PP Elaboration
Examples of activities reviewed include the following:
· Establishing estimates
· Developing the project plan
· Obtaining commitments to the project plan
Examples of work products reviewed include the following:
· WBS
· Project plan
· Data management plan
· Stakeholder involvement plan
PPQA Elaboration
Examples of activities reviewed include the following:
· Objectively evaluating processes and work products
· Tracking and communicating noncompliance issues
Examples of work products reviewed include the following:
· Noncompliance reports
· Evaluation logs and reports
QPM Elaboration
Examples of activities reviewed include the following:
· Managing the project using quality and process performance objectives
· Managing selected subprocesses using statistical and other quantitative techniques
Examples of work products reviewed include the following:
· Compositions of the project’s defined process
· Operational definitions of the measures
· Process performance analyses reports
· Collected measurements
RD Elaboration
Examples of activities reviewed include the following:
· Collecting stakeholder needs
· Formulating product and product component functional and quality attribute requirements
· Formulating architectural requirements that specify how product components are organized and designed to achieve particular end-to-end functional and quality attribute requirements
· Analyzing and validating product and product component requirements
Examples of work products reviewed include the following:
· Product requirements
· Product component requirements
· Interface requirements
· Definition of required functionality and quality attributes
· Architecturally significant quality attribute requirements
REQM Elaboration
Examples of activities reviewed include the following:
· Managing requirements
· Ensuring alignment among project plans, work products, and requirements
Examples of work products reviewed include the following:
· Requirements
· Requirements traceability matrix
RSKM Elaboration
Examples of activities reviewed include the following:
· Establishing and maintaining a risk management strategy
· Identifying and analyzing risks
· Mitigating risks
Examples of work products reviewed include the following:
· Risk management strategy
· Risk mitigation plans
SAM Elaboration
Examples of activities reviewed include the following:
· Establishing and maintaining supplier agreements
· Satisfying supplier agreements
Examples of work products reviewed include the following:
· Plan for supplier agreement management
· Supplier agreements
TS Elaboration
Examples of activities reviewed include the following:
· Selecting product component solutions
· Developing product and product component designs
· Implementing product component designs
Examples of work products reviewed include the following:
· Technical data packages
· Product, product component, and interface designs
· Implemented designs (e.g., software code, fabricated product components)
· User, installation, operation, and maintenance documentation
VAL 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
· Validation procedures
· Validation criteria
VER Elaboration
Examples of activities reviewed include the following:
· Selecting work products for verification
· Establishing and maintaining verification procedures and criteria
· Performing peer reviews
· Verifying selected work products
Examples of work products reviewed include the following:
· Verification procedures and criteria
· Peer review checklists
· Verification reports
GP 2.10 Review Status with Higher Level Management
Review the activities, status, and results of the process with higher level management and resolve issues.
The purpose of this generic practice is to provide higher level management with the appropriate visibility into the process.
Higher level management includes those levels of management in the organization above the immediate level of management responsible for the process. In particular, higher level management can include senior management. These reviews are for managers who provide the policy and overall guidance for the process and not for those who perform the direct day-to-day monitoring and controlling of the process.
Different managers have different needs for information about the process. These reviews help ensure that informed decisions on the planning and performing of the process can be made. Therefore, these reviews are expected to be both periodic and event driven.
OPF 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, progress toward achieving a targeted organizational maturity level or capability level profile)
OPM Elaboration
These reviews are typically in the form of a briefing presented to higher level management by those responsible for performance improvement.
Examples of presentation topics include the following:
· Improvement areas identified from analysis of current performance compared to business objectives
· Results of process improvement elicitation and analysis activities
· Results from validation activities (e.g., pilots) compared to expected benefits
· Performance data after deployment of improvements
· Deployment cost, schedule, and risk
· Risks of not achieving business objectives
REQM Elaboration
Proposed changes to commitments to be made external to the organization are reviewed with higher level management to ensure that all commitments can be accomplished.
RSKM Elaboration
Reviews of the project risk status are held on a periodic and event driven basis, with appropriate levels of management, to provide visibility into the potential for project risk exposure and appropriate corrective action.
Typically, these reviews include a summary of the most critical risks, key risk parameters (such as likelihood and consequence of the risks), and the status of risk mitigation efforts.
The process is institutionalized as a defined process.
GP 3.1 Establish a Defined Process
Establish and maintain the description of a defined process.
The purpose of this generic practice is to establish and maintain a description of the process that is tailored from the organization’s set of standard processes to address the needs of a specific instantiation. The organization should have standard processes that cover the process area, as well as have guidelines for tailoring these standard processes to meet the needs of a project or organizational function. With a defined process, variability in how the processes are performed across the organization is reduced and process assets, data, and learning can be effectively shared.
Refer to the Integrated Project Management process area for more information about establishing the project’s defined process.
Refer to the Organizational Process Definition process area for more information about establishing standard processes and establishing tailoring criteria and guidelines.
The descriptions of the defined processes provide the basis for planning, performing, and managing the activities, work products, and services associated with the process.
Subpractices
1. Select from the organization’s set of standard processes those processes that cover the process area and best meet the needs of the project or organizational function.
2. Establish the defined process by tailoring the selected processes according to the organization’s tailoring guidelines.
3. Ensure that the organization’s process objectives are appropriately addressed in the defined process.
4. Document the defined process and the records of the tailoring.
5. Revise the description of the defined process as necessary.
GP 3.2 Collect Process Related Experiences
Collect process related experiences derived from planning and performing the process to support the future use and improvement of the organization’s processes and process assets.
The purpose of this generic practice is to collect process related experiences, including information and artifacts derived from planning and performing the process. Examples of process related experiences include work products, measures, measurement results, lessons learned, and process improvement suggestions. The information and artifacts are collected so that they can be included in the organizational process assets and made available to those who are (or who will be) planning and performing the same or similar processes. The information and artifacts are stored in the organization’s measurement repository and the organization’s process asset library.
Examples of relevant information include the effort expended for the various activities, defects injected or removed in a particular activity, and lessons learned.
Refer to the Integrated Project Management process area for more information about contributing to organizational process assets.
Refer to the Organizational Process Definition process area for more information about establishing organizational process assets.
Subpractices
1. Store process and product measures in the organization’s measurement repository.
The process and product measures are primarily those measures that are defined in the common set of measures for the organization’s set of standard processes.
2. Submit documentation for inclusion in the organization’s process asset library.
3. Document lessons learned from the process for inclusion in the organization’s process asset library.
4. Propose improvements to the organizational process assets.
Examples of process related experiences include the following:
· Action proposals
· Number of action plans that are open and for how long
· Action plan status reports
CM Elaboration
Examples of process related experiences include the following:
· Trends in the status of configuration items
· Configuration audit results
· Change request aging reports
DAR Elaboration
Examples process related experiences include the following:
· Number of alternatives considered
· Evaluation results
· Recommended solutions to address significant issues
IPM Elaboration
Examples of process related experiences include the following:
· Project’s defined process
· Number of tailoring options exercised by the project to create its defined process
· Interface coordination issue trends (i.e., number identified, number closed)
· Number of times the process asset library is accessed for assets related to project planning by project members
· Records of expenses related to holding face-to-face meetings versus holding meetings using collaborative equipment such as teleconferencing and videoconferencing
· Project shared vision
· Team charters
MA Elaboration
Examples of process related experiences include the following:
· Data currency status
· Results of data integrity tests
· Data analysis reports
OPD Elaboration
Examples of process related experiences include the following:
· Submission of lessons learned to the organization's process asset library
· Submission of measurement data to the organization's measurement repository
· Status of the change requests submitted to modify the organization's standard process
· Record of non-standard tailoring requests
OPF Elaboration
Examples of process related experiences include the following:
· Criteria used to prioritize candidate process improvements
· Appraisal findings that address strengths and weaknesses of the organization's processes
· Status of improvement activities against the schedule
· Records of tailoring the organization’s set of standard processes and implementing them on identified projects
OPM Elaboration
Examples of process related experiences include the following:
· Lessons learned captured from analysis of process performance data compared to business objectives
· Documented measures of the costs and benefits resulting from implementing and deploying improvements
· Report of a comparison of similar development processes to identify the potential for improving efficiency
OPP Elaboration
Examples of process related experiences include the following:
· Process performance baselines
· Percentage of measurement data that is rejected because of inconsistencies with the process performance measurement definitions
OT Elaboration
Examples of process related experiences include the following:
· Results of training effectiveness surveys
· Training program performance assessment results
· Course evaluations
· Training requirements from an advisory group
PI Elaboration
Examples of process related experiences include the following:
· Records of the receipt of product components, exception reports, confirmation of configuration status, and results of readiness checking
· Percentage of total development effort spent in product integration (actual to date plus estimate to complete)
· Defects found in the product and test environment during product integration
· Problem reports resulting from product integration
PMC Elaboration
Examples of process related experiences include the following:
· Records of significant deviations
· Criteria for what constitutes a deviation
· Corrective action results
PP Elaboration
Examples of process related experiences include the following:
· Project data library structure
· Project attribute estimates
· Risk impacts and probability of occurrence
PPQA Elaboration
Examples of process related experiences include the following:
· Evaluation logs
· Quality trends
· Noncompliance reports
· Status reports of corrective actions
· Cost of quality reports for the project
QPM Elaboration
Examples of process related experiences include the following:
· Records of quantitative management data from the project, including results from the periodic review of the process performance of the subprocesses selected for management against established interim objectives of the project
· Suggested improvements to process performance models
RD Elaboration
Examples of process related experiences include the following:
· List of the requirements for a product that are found to be ambiguous
· Number of requirements introduced at each phase of the project lifecycle
· Lessons learned from the requirements allocation process
REQM Elaboration
Examples of process related experiences include the following:
· Requirements traceability matrix
· Number of unfunded requirements changes after baselining
· Lessons learned in resolving ambiguous requirements
RSKM Elaboration
Examples of process related experiences include the following:
· Risk parameters
· Risk categories
· Risk status reports
SAM Elaboration
Examples of process related experiences include the following:
· Results of supplier reviews
· Trade studies used to select suppliers
· Revision history of supplier agreements
· Supplier performance reports
TS Elaboration
Examples of process related experiences include the following:
· Results of the make, buy, or reuse analysis
· Design defect density
· Results of applying new methods and tools
VAL Elaboration
Examples of process related experiences include the following:
· Product component prototype
· Percentage of time the validation environment is available
· Number of product defects found through validation per development phase
· Validation analysis report
VER Elaboration
Examples of process related experiences include the following:
· Peer review records that include conduct time and average preparation time
· Number of product defects found through verification per development phase
· Verification and analysis report
Generic practices are components that can be applied to all process areas. Think of generic practices as reminders. They serve the purpose of reminding you to do things right and are expected model components.
For example, consider the generic practice, “Establish and maintain the plan for performing the process” (GP 2.2). When applied to the Project Planning process area, this generic practice reminds you to plan the activities involved in creating the plan for the project. When applied to the Organizational Training process area, this same generic practice reminds you to plan the activities involved in developing the skills and knowledge of people in the organization.
While generic goals and generic practices are the model components that directly address the institutionalization of a process across the organization, many process areas likewise address institutionalization by supporting the implementation of the generic practices. Knowing these relationships will help you effectively implement the generic practices.
Such process areas contain one or more specific practices that when implemented can also fully implement a generic practice or generate a work product that is used in the implementation of a generic practice.
An example is the Configuration Management process area and GP 2.6, “Place selected work products of the process under appropriate levels of control.” To implement the generic practice for one or more process areas, you might choose to implement the Configuration Management process area, all or in part, to implement the generic practice.
Another example is the Organizational Process Definition process area and GP 3.1, “Establish and maintain the description of a defined process.” To implement this generic practice for one or more process areas, you should first implement the Organizational Process Definition process area, all or in part, to establish the organizational process assets that are needed to implement the generic practice.
Table 6.2 describes (1) the process areas that support the implementation of generic practices and (2) the recursive relationships between generic practices and their closely related process areas. Both types of relationships are important to remember during process improvement to take advantage of the natural synergies that exist between the generic practices and their related process areas.
Table 6.2 Generic Practice and Process Area Relationships
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