Generic Goals and Generic Practices

This section describes in detail all the generic goals and generic practices of CMMI—model components that directly address process institutionalization. Also included are their associated subpractices, notes, examples, references, and generic practice elaborations.

Generic practice elaborations appear after generic practices to show how these practices should uniquely be applied to various process areas. Not all process areas are represented, since application of generic practices to process areas sometimes needs no explanation and other times requires explanation or examples.

Applying Generic Practices

Generic practices are components that are common 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, when you are achieving the specific goals of the Configuration Management process area, you are establishing and maintaining the integrity of work products using configuration identification, configuration control, configuration status accounting, and configuration audits. One of the generic practices that applies to the Configuration Management process area is “Establish and maintain an organizational policy for the planning and performing the process.” (GP 2.2). When applied to this process area, this generic practice reminds you to establish a policy for conducting configuration management activities in the organization.

When you are satisfying the specific goals of the Organizational Training process area, you are developing the skills and knowledge of people in your organization so that they can perform their roles effectively and efficiently. When applying the generic practice “Establish and maintain the plan for performing the process.” (GP 2.2) to the Organizational Training process area, this generic practice reminds you to plan the activities involved in developing the skills and knowledge of people in the organization.

Generic Goals and Generic Practices

Below are all of the generic goals and generic practices contained in the CMMI-SVC model. The generic goals are organized in numerical order, GG 1 through GG 5. The generic practices are also organized in numerical order under the generic goal they support.

GG 1 Achieve Specific Goals

The process supports and enables achievement of the specific goals of the process area by transforming identifiable input work products to produce identifiable output work products.

GP 1.1 Perform 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 the process. These practices may 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 may 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 in 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 root causes of defects and other problems.

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 must 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.

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.

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.

MA Elaboration

This policy establishes organizational expectations for providing measurement results and for aligning measurement objectives and activities with identified information needs and objectives.

OID Elaboration

This policy establishes organizational expectations for identifying and deploying process and technology improvements that contribute to meeting quality and process-performance objectives.

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 integrated 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.

OPP Elaboration

This policy establishes organizational expectations for establishing and maintaining process-performance baselines 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.

PMC Elaboration

This policy establishes organizational expectations for monitoring performance against the project plan and managing corrective action to closure when actual performance or results deviate significantly from the plan.

PP Elaboration

This policy establishes organizational expectations for estimating 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 quantitatively managing the project using quality and process-performance objectives and statistically managing selected subprocesses within the project’s defined process.

REQM Elaboration

This policy establishes organizational expectations for managing requirements and identifying inconsistencies between the requirements and 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.

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 across the organization.

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 may 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 may 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 developing a project plan.

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 performance of the process (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 performance of the process, its work products, and its services

• Involvement of identified 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 may be a stand-alone document, embedded in a more comprehensive document, or distributed across multiple documents. In the case of the plan being distributed across multiple documents, ensure that a coherent picture of who does what is preserved. Documents may be hardcopy or softcopy.

2. Define and document the process description.

The process description, which includes relevant standards and procedures, may be included as part of the plan for performing the process or may 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 project plan, which is described in the Project Planning process area.

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 items described in several specific practices in this process area. The plan called for in this generic practice addresses 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 remove 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 performing 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.

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.2 and project planning processes.

Table 7.1 Generic Practice and Process Area Relationships

IRP Elaboration

This plan for performing the incident resolution and prevention process can be included in (or referenced by) the project plan, which is described in the Project Planning process area. This plan typically is based on an estimation of the volume and type of service incidents.

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.

OID Elaboration

This plan for performing the organizational innovation and deployment 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 collecting and analyzing improvement proposals through measuring improvement effects. In contrast, the deployment plans called for in the specific practices of this process area address the planning needed for the deployment of individual process and technology improvements.

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.

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 individual training offerings.

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 7.1 (p. 220) 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

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.

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 portion of the plan resides outside of the project 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 project plan, which is described in the Project 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 project plan, which is described in the Project Planning process area.

SST Elaboration

Overall planning for service system transition can be included in (or referenced by) the project plan, which is described in the Project 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.

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

IPM Elaboration

IRP Elaboration

MA Elaboration

Measurement personnel may be employed full time or part time. A measurement group may or may not exist to support measurement activities across multiple projects.

OID Elaboration

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

OPF Elaboration

OPP Elaboration

Special expertise in statistics and statistical process control 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.

PMC Elaboration

PP Elaboration

Special expertise, equipment, and facilities in project planning may be required. Special expertise in project planning may include the following:

• Experienced estimators

• Schedulers

• Technical experts in applicable areas (e.g., product domain, technology)

PPQA Elaboration

OPP Elaboration

Special expertise in statistics and statistical process control may be needed to define the techniques for statistical management of selected subprocesses, but staff will use the tools and techniques to perform statistical management. Special expertise in statistics may also be needed for analyzing and interpreting the measures resulting from statistical management.

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 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, 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, product managers, product line managers, or portfolio managers typically manage strategic service management practices.

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 perform 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 both for 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, or 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 project) 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, or 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 performing the work.

Training supports the successful performance 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

IPM Elaboration

IRP Elaboration

MA Elaboration

OID Elaboration

OPD Elaboration

OPF Elaboration

OPP Elaboration

OT Elaboration

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.5 and the Organizational Training process area.

PMC Elaboration

PP Elaboration

PPQA Elaboration

QPM Elaboration

REQM Elaboration

RSKM Elaboration

SAM Elaboration

SCON Elaboration

SD Elaboration

SST Elaboration

STSM Elaboration

GP 2.6 Manage Configurations

Place designated 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 designated work products of the process (or their descriptions) throughout their useful life.

The designated 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 (i.e., 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 may be an individual, group, or team).

Sometimes, it may 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 a configuration management and a change management system for controlling work products.

Additional levels of control between version control and formal configuration management are possible. An identified work product may be under various levels of control at different points in time.

CAM Elaboration

CAR Elaboration

CM Elaboration

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.6 and the Configuration Management process area.

Levels of control must be sufficient to meet business needs, mitigate the risk of failure, and address service criticality.

DAR Elaboration

IPM Elaboration

IRP Elaboration

MA Elaboration

OID Elaboration

OPD Elaboration

OPF Elaboration

OPP Elaboration

OT Elaboration

PMC Elaboration

PP Elaboration

PPQA Elaboration

QPM Elaboration

REQM Elaboration

RSKM Elaboration

SAM Elaboration

SCON Elaboration

SD Elaboration

SST Elaboration

STSM 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 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/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.

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 within 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.

CAM Elaboration

CAR Elaboration

CM Elaboration

DAR Elaboration

IPM Elaboration

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.7 and the Manage Stakeholder Involvement specific practice in this process area.

IRP Elaboration

MA Elaboration

OID Elaboration

OPD Elaboration

OPF Elaboration

OPP Elaboration

OT Elaboration

PMC Elaboration

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.7 and the Monitor Stakeholder Involvement specific practice in the Project Monitoring and Control process area.

PP Elaboration

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.7 and the Plan Stakeholder Involvement specific practice in the Project Planning process area.

PPQA Elaboration

QPM Elaboration

REQM Elaboration

Select relevant stakeholders from customers, end users, developers, producers, testers, suppliers, marketers, maintainers, disposal personnel, and others who may be affected by, or may affect, the product as well as the process.

RSKM Elaboration

SAM Elaboration

SCON Elaboration

SD Elaboration

SST Elaboration

STSM 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-today 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 involves 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. Measure actual performance against the plan for performing the process.

The measures 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.

The reviews are intended to provide the immediate level of management with appropriate visibility into the process. The reviews can be both periodic and event driven.

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.

There are inherent risks that should be considered before any corrective action is taken.

Corrective action may 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.

CAM Elaboration

CAR Elaboration

CM Elaboration

DAR Elaboration

IPM Elaboration

IRP Elaboration

MA Elaboration

OPD Elaboration

OPF Elaboration

OPP Elaboration

OT Elaboration

PMC Elaboration

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.8 and the Project Monitoring and Control process area.

PP Elaboration

PPQA Elaboration

QPM Elaboration

REQM Elaboration

RSKM Elaboration

SAM Elaboration

SCON Elaboration

SD Elaboration

SST Elaboration

STSM Elaboration

GP 2.9 Objectively Evaluate Adherence

Objectively evaluate adherence of the process against its process description, standards, and procedures, and address noncompliance.

The purpose of this generic practice is to provide credible assurance that the process is implemented as planned and adheres to its process description, standards, and procedures. This generic practice is implemented, in part, by evaluating selected work products of the process. (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 within 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

CM Elaboration

DAR Elaboration

IPM Elaboration

IRP Elaboration

MA Elaboration

OID Elaboration

OPD Elaboration

OPF Elaboration

OPP Elaboration

OT Elaboration

PMC Elaboration

PP Elaboration

PPQA Elaboration

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.9 and the Process and Product Quality Assurance process area.

QPM Elaboration

REQM Elaboration

RSKM Elaboration

SAM Elaboration

SCON Elaboration

SD Elaboration

SST Elaboration

STSM 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 includes 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.

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 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.

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 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 and maintaining the project’s defined process.

Refer to the Organizational Process Definition process area for more information about standard processes and 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.

IPM Elaboration

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 3.1 and the Integrated Project Management process area.

GP 3.2 Collect Improvement Information

Collect work products, measures, measurement results, and improvement information 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 information and artifacts derived from planning and performing the process. This generic practice is performed so that the information and artifacts 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 Project Management process area for more information about contributing work products, measures, and documented experiences to the 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 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

IPM Elaboration

Refer to Table 7.1 (p. 220) in Generic Goals and Generic Practices for more information about the relationship between generic practice 3.2 and the Integrated Project Management process area.

IRP Elaboration

OID Elaboration

OPD Elaboration

OPF Elaboration

OPP Elaboration

OT Elaboration

PMC Elaboration

PP Elaboration

PPQA Elaboration

QPM Elaboration

REQM Elaboration

RSKM Elaboration

SAM Elaboration

SCON Elaboration

SD Elaboration

SST Elaboration

STSM Elaboration

GG 4 Institutionalize a Quantitatively Managed Process

The process is institutionalized as a quantitatively managed process.

GP 4.1 Establish Quantitative Objectives for the Process

Establish and maintain quantitative objectives for the process, which address quality and process performance, based on customer needs and business objectives.

The purpose of this generic practice is to determine and obtain agreement from relevant stakeholders about specific quantitative objectives for the process. These quantitative objectives can be expressed in terms of product quality, service quality, and process performance.

Refer to the Quantitative Project Management process area for more information about selecting subprocesses to be statistically managed as well as selecting measures and analytic techniques.

The quantitative objectives may be specific to the process, or they may be defined for a broader scope (e.g., for a set of processes). In the latter case, these quantitative objectives may be allocated to some of the included processes.

These quantitative objectives are criteria used to judge whether the products, services, and process performance will satisfy the customers, end users, organization management, and process implementers. These quantitative objectives go beyond the traditional end-product objectives. They also cover intermediate objectives that are used to manage the achievement of the objectives over time. They reflect, in part, the demonstrated performance of the organization’s set of standard processes. These quantitative objectives should be set to values that are likely to be achieved when the processes involved are stable and within their natural bounds.

Subpractices

1. Establish the quantitative objectives that pertain to the process.

2. Allocate the quantitative objectives to the process or its subprocesses.

GP 4.2 Stabilize Subprocess Performance

Stabilize the performance of one or more subprocesses to determine the ability of the process to achieve the established quantitative quality and process-performance objectives.

The purpose of this generic practice is to stabilize the performance of one or more subprocesses of the defined process, which are critical contributors to overall performance, using appropriate statistical and other quantitative techniques. Stabilizing selected subprocesses supports predicting the ability of the process to achieve the established quantitative quality and process-performance objectives.

Refer to the Quantitative Project Management process area for more information about selecting subprocesses for statistical management and statistically managing subprocess performance.

A stable subprocess shows no significant indication of special causes of process variation. Stable subprocesses are predictable within the limits established by the natural bounds of the subprocess. Variations in the stable subprocess are due to a constant system of chance causes, and the magnitude of the variations can be small or large.

Predicting the ability of the process to achieve the established quantitative objectives requires a quantitative understanding of the contributions of the subprocesses that are critical to achieving these objectives and establishing and managing against interim quantitative objectives over time.

Selected process and product measures are incorporated into the organization’s measurement repository to support process-performance analysis and future fact-based decision making.

Subpractices

1. Statistically manage the performance of one or more subprocesses that are critical contributors to the overall performance of the process.

2. Predict the ability of the process to achieve its established quantitative objectives considering the performance of the statistically managed subprocesses.

3. Incorporate selected process-performance measurements into the organization’s process-performance baselines.

GG 5 Institutionalize an Optimizing Process

The process is institutionalized as an optimizing process.

GP 5.1 Ensure Continuous Process Improvement

Ensure continuous improvement of the process in fulfilling the relevant business objectives of the organization.

The purpose of this generic practice is to select and systematically deploy process and technology improvements that contribute to meeting established quality and process-performance objectives.

Refer to the Organizational Innovation and Deployment process area for more information about selecting and deploying incremental and innovative improvements that measurably improve the organization’s processes and technologies.

Optimizing the processes that are agile and innovative depends on the participation of an empowered workforce aligned with the business values and objectives of the organization. The organization’s ability to rapidly respond to changes and opportunities is enhanced by finding ways to accelerate and share learning. Improvement of the processes is inherently part of everybody’s role, resulting in a cycle of continual improvement.

Subpractices

1. Establish and maintain quantitative process improvement objectives that support the organization’s business objectives.

The quantitative process improvement objectives may be specific to the individual process, or they may be defined for a broader scope (i.e., for a set of processes) with the individual processes contributing to achieving these objectives. Objectives that are specific to the individual process are typically allocated from quantitative objectives established for a broader scope.

These process improvement objectives are derived primarily from the organization’s business objectives and from a detailed understanding of process capability. These objectives are the criteria used to judge whether the process performance is quantitatively improving the organization’s ability to meet its business objectives. These process improvement objectives are often set to values beyond current process performance, and both incremental and innovative technological improvements may be needed to achieve these objectives. These objectives may also be revised frequently to continue to drive the improvement of the process (i.e., when an objective is achieved, it may be set to a new value that is again beyond the new process performance).

These process improvement objectives may be the same as, or a refinement of, the objectives established in the “Establish Quantitative Objectives for the Process” generic practice, as long as they can serve as both drivers and criteria for successful process improvement.

2. Identify process improvements that would result in measurable improvements to process performance.

Process improvements include both incremental changes and innovative technological improvements. The innovative technological improvements are typically pursued as efforts that are separately planned, performed, and managed. Piloting is often performed. These efforts often address specific areas of the processes that are determined by analyzing process performance and identifying specific opportunities for significant measurable improvement.

3. Define strategies and manage deployment of selected process improvements based on the quantified expected benefits, the estimated costs and impacts, and the measured change to process performance.

The costs and benefits of these improvements are estimated quantitatively and the actual costs and benefits are measured. Benefits are primarily considered relative to the organization’s quantitative process improvement objectives. Improvements are made to both the organization’s set of standard processes and the defined processes. Managing deployment of the process improvements includes piloting changes and implementing adjustments where appropriate, addressing potential and real barriers to deployment, minimizing disruption to ongoing efforts, and managing risks.

GP 5.2 Correct Root Causes of Problems

Identify and correct the root causes of defects and other problems in the process.

The purpose of this generic practice is to analyze defects and other problems that were encountered in a quantitatively managed process, to correct the root causes of these types of defects and problems, and to prevent these defects and problems from occurring in the future.

Refer to the Causal Analysis and Resolution process area for more information about identifying causes of defects and problems and taking action to prevent them from occurring in the future.

Even though the Causal Analysis and Resolution process area has a project context, it can be applied to processes in other contexts as well.

Root cause analysis can be applied beneficially to processes that are not quantitatively managed. However, the focus of this generic practice is to act on a quantitatively managed process, though the final root causes may be found outside of that process.

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. Such process areas contain one or more specific practices that when implemented may also fully implement a generic practice or generate a work product that is used in the implementation of a generic practice. Knowing these relationships will help you effectively implement the generic practices.

An example is the Configuration Management process area and GP 2.6, “Place designated 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 7.1 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.

Given the dependencies that generic practices have on these process areas, and given the more holistic view that many of these process areas provide, many organizations implement these process areas early, in whole or in part, before or concurrent with implementing the associated generic practices.

There are also a few situations in which 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 may be natural to think that applying GP 3.1, “Establish a Defined Process,” to the Project Planning and Project Monitoring and Control process areas gives the same effect as the first specific goal of Integrated Project Management, “Use the Project’s Defined Process.”

Although it is true that there is some overlap, the application of the generic practice to these two process areas provides defined processes covering project planning and project monitoring and control activities. These defined processes do not necessarily cover support activities (e.g., configuration management), other project management processes (e.g., supplier agreement management), or the engineering processes. In contrast, the project’s defined process, provided by the Integrated Project Management process area, covers all appropriate project management, engineering, and support processes.