Generic Goals and Generic 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.
Generic practice elaborations appear after generic practices to provide guidance on how the generic practice can be applied uniquely to process areas.
Process Institutionalization
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 7.1.
Table 7.1 Generic Goals and Process Names
The progression of process institutionalization is characterized in the following descriptions of each process.
Performed Process
A performed process is a process that accomplishes the work necessary to satisfy the specific goals of a process area.
Managed Process
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 work 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.
Defined Process
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 work group’s defined process provides a basis for planning, performing, and improving the work tasks and activities. The work 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 work group, or organizational function. As a result, the managed processes of two work groups 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.
Relationships Among Processes
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 work activity 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.
Generic Goals and Generic Practices
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.
GG 1 Achieve Specific Goals
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.
GG 2 Institutionalize a Managed Process
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. This policy should address authorizing and implementing emergency changes.
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.
IRP Elaboration
This policy establishes organizational expectations for establishing an approach to incident resolution and prevention; identifying, controlling, and addressing incidents; and for selected incidents, determining workarounds or addressing underlying causes.
IWM Elaboration
This policy establishes organizational expectations for establishing and maintaining the defined process for the work from startup throughout the work lifecycle, using the defined process in managing the work, 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 work group, 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.
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 work. Process and product quality assurance must possess sufficient independence from work group management to provide objectivity in identifying and reporting noncompliance issues.
QWM 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 defined process for the work, selecting subprocess attributes critical to understanding process performance, monitoring subprocess and work 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.
REQM Elaboration
This policy establishes organizational expectations for managing requirements and identifying inconsistencies between the requirements and work 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.
SCON Elaboration
This policy establishes organizational expectations for establishing a service continuity plan that enables resumption of key services following a significant disruption in service delivery, providing training in the execution of the plan, and verifying and validating the plan.
SD Elaboration
This policy establishes organizational expectations for defining a service delivery approach, establishing service agreements, processing service requests, and delivering services.
SST Elaboration
This policy establishes organizational expectations for planning, implementing, and managing the transition of service system components into the delivery environment.
STSM Elaboration
This policy establishes organizational expectations for establishing and maintaining a set of standard services for use by the organization and making standard service descriptions available throughout the organization.
WMC Elaboration
This policy establishes organizational expectations for monitoring work progress and performance against the work plan and managing corrective action to closure when actual execution or results deviate significantly from the plan.
WP Elaboration
This policy establishes organizational expectations for estimating planning parameters, making internal and external commitments, and developing the plan for managing the work.
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.
Therefore, this generic practice can either reinforce expectations set elsewhere in CMMI or set new expectations that should be addressed.
Refer to the Work Planning process area for more information about establishing and maintaining plans that define work 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.
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.
CAM Elaboration
This plan for performing the capacity and availability management process can be included in (or referenced by) the work plan, which is described in the Work Planning process area.
CAR Elaboration
This plan for performing the causal analysis and resolution process can be included in (or referenced by) the work plan, which is described in the Work Planning process area. This plan differs from the action proposals and associated action items described in several specific practices in this process area. The plan called for in this generic practice addresses the work group’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 work plan, which is described in the Work Planning process area.
DAR Elaboration
This plan for performing the decision analysis and resolution process can be included in (or referenced by) the work plan, which is described in the Work Planning process area.
IRP Elaboration
This plan for performing the incident resolution and prevention process can be included in (or referenced by) the work plan, which is described in the Work Planning process area. This plan typically is based on an estimation of the volume and type of service incidents.
IWM Elaboration
This plan for performing the integrated work management process unites the planning for the work planning and monitor and control processes. The planning for performing the planning related practices in Integrated Work Management is addressed as part of planning the work planning process. This plan for performing the monitor-and-control related practices in Integrated Work Management can be included in (or referenced by) the work plan, which is described in the Work Planning process area.
MA Elaboration
This plan for performing the measurement and analysis process can be included in (or referenced by) the work plan, which is described in the Work 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.
WP Elaboration
Refer to Table 7.2 in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.2 and the Work Planning process area.
PPQA Elaboration
QWM Elaboration
This plan for performing the quantitative work management process can be included in (or referenced by) the work plan, which is described in the Work Planning process area.
REQM Elaboration
This plan for performing the requirements management process can be part of (or referenced by) the work plan as described in the Work Planning process area.
RSKM Elaboration
This plan for performing the risk management process can be included in (or referenced by) the work plan, which is described in the Work 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 work plan as described in the Work Planning process area. Often, however, some portion of the plan resides outside of the work group with a group such as contract management.
SCON Elaboration
This plan for performing the service continuity process can be included in (or referenced by) the work plan, which is described in the Work Planning process area. Alternatively, this plan can be included as part of a broader business continuity plan maintained at the organizational level.
In either case, the plan for performing the service continuity process differs from the service continuity 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 identifying and prioritizing essential functions through analyzing results of verification and validation. In contrast, the service continuity plans called for in one of the specific practices of this process area address how to restore key services following a significant disruption in service delivery.
SD Elaboration
This plan for performing the service delivery process can be included in (or referenced by) the work plan, which is described in the Work Planning process area.
SST Elaboration
Overall planning for service system transition can be included in (or referenced by) the work plan, which is described in the Work Planning process area. In addition, planning associated with the transition of a particular service system is typically addressed in a service system transition plan.
This plan for performing the service system transition process differs from the plans for service system transition 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 analyzing service system transition needs through assessing and controlling the impacts of the transition. In contrast, the service system transition plans called for in the specific practice of this process area address planning for specific transitions of the service system.
STSM Elaboration
This plan for performing the strategic service management process differs from the plans for standard services described in the specific practices of this process area. The plan called for in this generic practice addresses comprehensive planning for all the specific practices in the process area.
WMC Elaboration
This plan for performing the work monitoring and control process can be part of (or referenced by) the work plan, as described in the Work Planning process area.
WP Elaboration
Refer to Table 7.2 in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.2 and the Work 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.
CAM Elaboration
CAR Elaboration
CM Elaboration
DAR Elaboration
IRP Elaboration
IWM Elaboration
MA Elaboration
Staff with appropriate expertise provide support for measurement and analysis activities. A measurement group with such a role may exist.
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.
OPF Elaboration
OPM Elaboration
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.
OT Elaboration
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.
PPQA Elaboration
QWM 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.
REQM Elaboration
RSKM Elaboration
SAM Elaboration
SCON Elaboration
Service continuity relies on obtaining special as well as adequate resources. Remote locations, secure networks, facilities, and equipment should be identified, procured, and prepared in advance to ensure continued service system operations in the event of a significant disruption. Special training facilities and related resources may be needed to prepare those who are responsible for implementing the service continuity plan. Finally, special testing facilities, equipment, and tools may need to be developed or purchased for use in verifying and validating service continuity preparations.
SD Elaboration
Service delivery requires the operation of an appropriate service system that includes a trained staff, an infrastructure, tools, processes, consumables, and other resources. In addition, the operation of the service system imposes a continuing need for adequate resources. For example, over time components of the service system may need to be upgraded, replaced, or retired; service delivery staff may need to be retrained, augmented, rotated, or reduced; and consumables may need to be replenished to ensure that the service is delivered in accordance with service agreements.
Some of the components of the service system may need to be developed or purchased, and this constraint may require obtaining resources as described in the Service System Development and Supplier Agreement Management process areas.
SST Elaboration
STSM Elaboration
Senior managers, strategic planners, service portfolio managers, product managers, or product line managers typically manage strategic service management practices.
WMC Elaboration
WP Elaboration
Special expertise, equipment, and facilities in work planning may be required.
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.
IRP Elaboration
Responsibility is assigned for both first-tier service incident handling (e.g., by a help desk) and for second-tier handling (e.g., by support groups organized by service, platform, function, technology).
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.
SCON Elaboration
Responsibility is assigned to a backup management team for the organization (or work group) to take over management responsibilities in the event of a significant disruption.
SD Elaboration
Responsibility is assigned for establishing service agreements, accepting service requests, communicating status information (e.g., by a help desk), operating and maintaining the service system, processing service requests, and resolving service incidents (e.g., by support groups organized by service, platform, function, technology).
SST Elaboration
Responsibility is assigned for planning, implementing, and managing the transition. In addition, stakeholder notification activities are explicitly assigned to ensure open communication and buy-in. Rollback and back-out assignments are made in the event that the transition is not successful.
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.
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.
CAM Elaboration
CAR Elaboration
CM Elaboration
DAR Elaboration
IRP Elaboration
IWM Elaboration
MA Elaboration
OPD Elaboration
OPF Elaboration
OPM Elaboration
OPP Elaboration
OT Elaboration
PPQA Elaboration
QWM Elaboration
REQM Elaboration
RSKM Elaboration
SAM Elaboration
SCON Elaboration
SD Elaboration
SST Elaboration
STSM Elaboration
WMC Elaboration
WP Elaboration
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.
CAM Elaboration
CAR Elaboration
CM Elaboration
Levels of control should be sufficient to meet business needs, mitigate the risk of failure, and address service criticality.
DAR Elaboration
IRP Elaboration
IWM Elaboration
MA Elaboration
OPD Elaboration
OPF Elaboration
OPM Elaboration
OPP Elaboration
OT Elaboration
PPQA Elaboration
QWM Elaboration
REQM Elaboration
RSKM Elaboration
SAM Elaboration
SCON Elaboration
SD Elaboration
SST Elaboration
STSM Elaboration
WMC Elaboration
WP Elaboration
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 Work 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.
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 work planners or other planners as appropriate.
3. Involve relevant stakeholders as planned.
CAM Elaboration
CAR Elaboration
CM Elaboration
DAR Elaboration
IRP Elaboration
IWM Elaboration
MA Elaboration
OPD Elaboration
OPF Elaboration
OPM Elaboration
OPP Elaboration
OT Elaboration
PPQA Elaboration
QWM Elaboration
REQM Elaboration
RSKM Elaboration
SAM Elaboration
SCON Elaboration
SD Elaboration
SST Elaboration
STSM Elaboration
WMC Elaboration
WP Elaboration
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 Work Monitoring and Control process area for more information about providing an understanding of the work progress and performance so that appropriate corrective actions can be taken when the work progress and 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.
7. Track corrective action to closure.
CAM Elaboration
CAR Elaboration
CM Elaboration
DAR Elaboration
IRP Elaboration
IWM Elaboration
MA Elaboration
OPD Elaboration
OPF Elaboration
OPM Elaboration
OPP Elaboration
OT Elaboration
PPQA Elaboration
QWM Elaboration
REQM Elaboration
RSKM Elaboration
SAM Elaboration
SCON Elaboration
SD Elaboration
SST Elaboration
STSM Elaboration
WMC Elaboration
WP Elaboration
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 work group, 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
CM Elaboration
DAR Elaboration
IRP Elaboration
IWM Elaboration
MA Elaboration
OPD Elaboration
OPF Elaboration
OPM Elaboration
OPP Elaboration
OT Elaboration
PPQA Elaboration
QWM Elaboration
REQM Elaboration
RSKM Elaboration
SAM Elaboration
SCON Elaboration
SD Elaboration
SST Elaboration
STSM Elaboration
WMC Elaboration
WP Elaboration
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.
IRP Elaboration
Higher level management is kept informed of the status of significant service incidents, including results of workarounds and prevention activities.
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.
OPM Elaboration
These reviews are typically in the form of a briefing presented to higher level management by those responsible for performance improvement.
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 work risk status are held on a periodic and event-driven basis, with appropriate levels of management, to provide visibility into the potential for work 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.
SCON Elaboration
These reviews are typically in the form of a briefing presented to higher level management.
SST Elaboration
Higher level management is kept informed of the status of transitions, including successful and unsuccessful transition attempts and deployment results.
GG 3 Institutionalize a Defined Process
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 work group 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 Work Management process area for more information about establishing the defined process for the work.
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 work group 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.
Refer to the Integrated Work 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.
CAR Elaboration
CM Elaboration
DAR Elaboration
IRP Elaboration
IWM Elaboration
OPD Elaboration
OPF Elaboration
OPM Elaboration
OPP Elaboration
OT Elaboration
PPQA Elaboration
QWM Elaboration
REQM Elaboration
RSKM Elaboration
SAM Elaboration
SCON Elaboration
SD Elaboration
SST Elaboration
STSM Elaboration
WMC Elaboration
WP Elaboration
Applying Generic Practices
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 Work Planning process area, this generic practice reminds you to plan the activities involved in creating the plan for the work. 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.
Process Areas that Support Generic Practices
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 7.2 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 7.2 Generic Practice and Process Area Relationships
Given the dependencies that generic practices have on these process areas, and given the more holistic view that many of these process areas provide, these process areas are often implemented early, in whole or in part, before or concurrent with implementing the associated generic practices.
There are also a few situations where the result of applying a generic practice to a particular process area would seem to make a whole process area redundant, but, in fact, it does not. It can be natural to think that applying GP 3.1, “Establish a Defined Process,” to the Work Planning and Work Monitoring and Control process areas gives the same effect as the first specific goal of Integrated Work Management, “Use the Defined Process for the Work.”
Although it is true that there is some overlap, the application of the generic practice to these two process areas provides defined processes covering work planning and work monitoring and control activities. These defined processes do not necessarily cover support activities (e.g., configuration management), other work management processes (e.g., integrated work management), or other processes. In contrast, the defined process for the work, provided by the Integrated Work Management process area, covers all appropriate processes.