Subset Overview / Details
______________________________________________________________
Requirement Set: CMMI
Subset: Pure Generic Practices
(GEN)
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Notes:
·
The contents of this web page
were extracted from the following document: Capability Maturity Model® Integration
(CMMISM), Version 1.1, Continuous Representation, CMU/SEI-2002-TR-011, March 2002
(CMMI-SE/SW/IPPD/SS). Copyright 2002 by Carnegie Mellon University. NO
WARRANTY.
·
Ignore the identifiers in square brackets that appear at the
end of paragraphs.
·
The formatting may not be the same as in the printed CMMI
document. The web page is best viewed in Internet Explorer.
·
In the CMMI, a subset is known as
a "Process Area (PA)" and a requirement is known as a
"Practice". The generic practices are referred to as GPs and the
specific practices are referred to as SPs.
·
This web page does not contain
the overview of any one subset; rather, it contains the detailed description of
the GPs which appears in Chapter 4 of the CMMI document. We consider this to be
the CMMI subset “Pure Generic Practices”.
GPs: 1.1, 2.1, 2.2, 2.3, 2.4, 2.5, 2.6, 2.7, 2.8, 2.9, 2.10, 3.1, 3.2, 4.1, 4.2, 5.1, 5.2
______________________________________________________________
CMMI Capability Levels and Generic Model Components
The
capability levels and generic model components focus on building the
organization’s ability to pursue process improvement in multiple process areas.
Using capability levels, generic goals, and generic practices, users are able
to improve their processes, as well as demonstrate and evaluate their organization’s
progress as they improve. [FM121.HDA101.T101]
Capability
levels in the continuous representation provide a recommended order for
approaching process improvement within each process area. [FM121.HDA101.T102]
All
continuous representations of CMMI models reflect capability levels in their
design and content. For each process area, a capability level consists of
related specific and generic practices that, when performed, achieve a set of
goals that lead to improved process performance.
[FM121.HDA101.T103]
In this
section, the phrase “the process” means the process or processes that implement
the process area. In Chapter 7, the section of each process area containing
generic goals, generic practices, and generic practice elaborations, this
phrase has the same meaning. [FM121.HDA101.T104]
“Institutionalization”
is an important dimension to each of the capability levels. When mentioned
below in the capability level descriptions, institutionalization implies that the
process is ingrained in the way the work is performed.
[FM121.HDA101.T105]
The
specific practices belonging to the process areas in the Process Management,
Project Management, and Support categories are all capability level 1
practices. However, other process areas (e.g., Engineering process areas) have
two types of specific practices: base practices (those at capability level 1)
and advanced practices (those at higher capability levels). For those process
areas that have advanced practices, the wording of the specific goals does not
change with different capability levels, but the set of specific practices that
map to them may change. [FM121.HDA103.T103]
When
using the continuous representation in an appraisal, process areas are rated
relative to a particular capability level. There are six capability levels
numbered 0 through 5. In process areas that have advanced practices, the
particular capability level being considered determines the set of specific
practices that are investigated when rating a specific goal. The rule is this:
when rating a specific goal relative to capability level N, all specific
practices through capability level N associated with that specific goal must be
investigated. [FM121.HDA103.T101]
In the
descriptions of the capability levels, generic goals, and generic practices in
this chapter, the phrase “satisfies … the specific goals of the process area”
should be interpreted in light of this rule.
[FM121.HDA103.T102]
Like any
process area, the capability levels of process areas are achieved through the
application of generic practices or suitable alternatives. There are a couple
of ways in which their application may not be immediately obvious: [FM121.HDA104.T101]
· Applying capability level 1 and 2 generic practices
· Applying capability level 3, 4, and 5 generic practices
Reaching
capability level 1 for a process area is equivalent to saying you perform the process
area, or more precisely, you are achieving the specific goals of the process
area. [FM121.HDA104.T102]
Reaching
capability level 2 for a process area is like saying you manage your
performance of the process area. There is a policy that indicates you will
perform it (that is, a process or processes that are intended to cover it).
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 area are controlled, etc. What this means
in detail is spelled out in the generic practice elaborations for the
capability level 2 generic practices that appear in the process area. In other
words, an organizational activity can be planned and monitored just like any
project or support activity. [FM121.HDA104.T103]
Reaching
capability level 3 for a process area assumes that there is an organizational
standard process or processes that cover that process area that can be tailored
to the specific need. There are two points to remember:
[FM121.HDA104.T104]
· Tailoring may result in making no changes to the standard process. In other words, the defined process and standard process may be identical. Using the standard process “as is” is tailoring because the choice is made that no further modification is required.
· Each process area covers multiple activities, some of which are repeatedly performed. You may need to tailor how 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 training over the Web. When preparing to develop or obtain a course that will be delivered over the Web, you may need to tailor that standard process to account for the particular challenges and benefits of training delivered over the Web.
Reaching
capability level 4 or 5 for a process area is conceptually feasible but may not
be economical except, perhaps, in situations where the product domain has
become very stable for an extended period of time.
[FM121.HDA104.T105]
An
incomplete process is a process that is either not performed or partially
performed. One or more of the specific goals of the process area are not satisfied. [CL101]
A
capability level 1 process is characterized as a “performed process.” [CL102]
A
performed process is a process that satisfies the specific goals of the process
area. It supports and enables the work needed to produce identified output work
products using identified input work products.
[CL102.N104]
A
critical distinction between an incomplete process and a performed process is
that a performed process satisfies all of the specific goals of the process area. [CL102.N103]
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. [CL102.GL101]
Perform the base 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. [GP102]
When
using the continuous representation of CMMI, the base practices of a process
area refer to all of the capability level 1 specific practices for the process
area. [GP102.N101]
A
capability level 2 process is characterized as a “managed process.” [CL103]
A managed
process is a performed (capability level 1) process that is also 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 may be instantiated by an individual project,
group, or organizational function. Management of the process is concerned with
the institutionalization of the process area and the achievement of other
specific objectives established for the process, such as cost, schedule, and
quality objectives. See Chapter 3 for an explanation of how “managed process”
is used in the CMMI Product Suite. [CL103.N109]
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
may be part of a more encompassing plan) and the performance of the process is
managed against the plan. Corrective actions are taken when the actual results
and performance deviate significantly from the plan. A managed process achieves
the objectives of the plan and is institutionalized for consistent performance
(see generic practices below). [CL103.N107]
The
objectives for the process are determined based on an understanding of the
project’s or organization’s particular needs. Objectives may be quantitative or
qualitative. [CL103.N102]
The
objectives for the process may be specific objectives for 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. These objectives may be revised as part of the corrective actions
taken for the process. [CL103.N103]
The
control provided by a managed process helps ensure that the established process
is retained during times of stress. [CL103.N104]
The
requirements and objectives for the process are established. The status of the
work products and delivery of the services are visible to management at defined
points (e.g., at major milestones and completion of major tasks). Commitments
are established among those performing the work and relevant stakeholders.
Commitments are revised as necessary. Work products are reviewed with relevant
stakeholders and are controlled. The work products and services satisfy their specified
requirements. [CL103.N105]
A managed
process is institutionalized by doing the following:
[CL103.N106]
· Adhering to organizational policies
· Following established plans and process descriptions
· Providing adequate resources (including funding, people, and tools)
· Assigning responsibility and authority for performing the process
· Training the people performing and supporting the process
· Placing designated work products under appropriate levels of configuration management
· Identifying and involving relevant stakeholders
· Monitoring and controlling the performance of the process against the plans for performing the process and taking corrective actions
· Objectively evaluating the process, its work products, and its services for adherence to the process descriptions, standards, and procedures, and addressing noncompliance
· Reviewing the activities, status, and results of the process with higher level management, and taking corrective action
Institutionalization
also implies that the breadth and depth of the implementation of the process
and the length of time the process has been in place are appropriate to ensure
that the process is ingrained in the way the work is performed. [CL103.N108]
GG 2 Institutionalize a Managed Process
The process is institutionalized as a managed
process. [CL103.GL101]
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. [GP103]
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. [GP103.N101]
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 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. [GP104]
Requirements
for the process's specified work products and for performing the work may be
derived from other requirements. In the case of a project’s processes, they may
come from that project’s requirements management process; in the case of an
organization’s process, they may come from organizational sources. [GP104.N101]
The
objectives for the process may be derived from other plans (e.g., the project
plans). Included are objectives for the specific situation, including quality,
cost, and schedule objectives. For example, an objective might be to reduce the
cost of performing a process for this implementation over the previous
implementation. [GP104.N102]
Although
a generic practice, by definition, applies to all process areas, the practical
implications of applying a generic practice vary for each process area.
Consider two examples that illustrate these differences as they relate to
planning the process. First, 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. In
such a situation, the generic practice imposes no additional expectations for
planning. Second, the planning described by this generic practice as applied to
the Project Planning process area typically would not be addressed by the
processes associated with other process areas in the model. Therefore, the
generic practice sets an expectation that the project planning process itself
be planned. It is important to be aware of the extent to which this generic
practice may either reinforce expectations set elsewhere in the model, or set
new expectations that should be addressed.
[GP104.N105]
Establishing
a plan includes documenting the plan and providing a process description.
Maintaining the plan includes changing it as necessary, in response to either corrective
actions or to changes in requirements and objectives for the process. [GP104.N103]
The plan
for performing the process typically includes the following: [GP104.N106]
· Process description
· Standards for the work products and services of the process
· 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, and resource usage)
· Dependencies among the activities, work products, and services of the process
· Resources (including funding, people, and tools) needed to perform the process
· Assignment of responsibility and authority
· Training needed for performing and supporting the process
· Work products to be placed under configuration management and the level of configuration management for each item
· 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 for the process and the work products
· Management review activities for the process and the work products
Subpractices
1. Obtain management sponsorship for performing
the process. [GP104.SubP101]
2. Define and document the process description. [GP104.SubP102]
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. [GP104.SubP102.N101]
3. Define and document the plan for performing
the process. [GP104.SubP103]
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 is
preserved of who does what. Documents may be hardcopy or softcopy. [GP104.SubP103.N102]
4. Review the plan with relevant stakeholders
and get their agreement. [GP104.SubP104]
This
includes reviewing that the planned process satisfies the applicable policies,
plans, requirements, and standards to provide assurance to relevant
stakeholders. [GP104.SubP104.N101]
5. Revise the plan as necessary. [GP104.SubP105]
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. [GP105]
The
interpretation of the term “adequate” depends on many factors and may change
over time. Inadequate resources may be addressed by increasing resources or by
removing requirements, constraints, and commitments.
[GP105.N101]
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
throughout the life of the process for performing the process and achieving the
specified results. The people assigned must have the appropriate authority to
perform the assigned responsibilities. [GP106]
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. [GP106.N101]
Subpractices
1. Assign overall responsibility and authority
for performing the process. [GP106.SubP101]
2. Assign responsibility for performing the
specific tasks of the process. [GP106.SubP102]
3. Confirm that the people assigned to the
responsibilities and authorities understand and accept them. [GP106.SubP103]
Train the people performing or supporting the process as needed.
The
purpose of this generic practice is to ensure that the people have the
necessary skills and expertise to perform or support the process. [GP107]
Appropriate
training is provided to the people who will be performing the work. Overview
training is provided to orient people who interact with those performing the
work. [GP107.N101]
Examples
of methods for providing training include: self study; self-directed training;
self-paced, programmed instruction; formalized on-the-job training; mentoring;
and formal and classroom training. [GP107.N104]
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. [GP107.N103]
Place designated work products of the process under appropriate levels of configuration management.
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. [GP109]
Refer
to the Configuration Management process area for more information on placing
work products under configuration management.
[GP109.R101]
The
designated work products are specifically identified in the plan for performing
the process, along with a specification of the level of configuration
management. [GP109.N101]
Different
levels of configuration management 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, a group, or a team). [GP109.N102]
Sometimes,
it may be critical that work products be placed under formal or “baseline”
configuration management. This type of configuration management includes
defining and establishing baselines at predetermined points. These baselines
are formally reviewed and agreed on, and serve as the basis for further
development of the designated work products.
[GP109.N104]
Additional
levels of configuration management between version control and formal
configuration management are possible. An identified work product may be under
various levels of configuration management at different points in time. [GP109.N103]
GP 2.7 Identify and Involve Relevant Stakeholders
Identify and involve the relevant stakeholders as planned.
The
purpose of this generic practice is to establish and maintain the expected
involvement of stakeholders during the execution of the process. [GP124]
Involve
relevant stakeholders as described in an appropriate plan for stakeholder
involvement. Involve them appropriately in activities such as the following: [GP124.N101]
· Planning
· Decisions
· Communications
· Coordination
· Reviews
· Appraisals
· Requirements definitions
· Resolution of problems/issues
Refer
to the Project Planning process area for information on the project planning
for stakeholder involvement. [GP124.N101.R101]
The
objective of planning the 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. [GP124.N102]
Subpractices
1. Identify stakeholders relevant to this
process and decide what type of involvement should be practiced. [GP124.SubP101]
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.
[GP124.SubP101.N101]
2. Share these identifications with project
planners or other planners as appropriate.
[GP124.SubP102]
3. Involve relevant stakeholders as planned. [GP124.SubP103]
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 involves measuring appropriate
attributes of the process or work products produced by the process. [GP110]
Refer
to the Project Monitoring and Control process area for more information about
monitoring and controlling the project and taking corrective action. [GP110.R102]
Refer
to the Measurement and Analysis process area for more information about
measurement. [GP110.R101]
Subpractices
1. Measure actual performance against the plan
for performing the process. [GP110.SubP101]
The
measures are of the process, its work products, and its services. [GP110.SubP101.N101]
2. Review accomplishments and results of the
process against the plan for performing the process.
[GP110.SubP102]
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. [GP110.SubP108]
4. Identify and evaluate the effects of
significant deviations from the plan for performing the process. [GP110.SubP104]
5. Identify problems in the plan for performing
the process and in the execution of the process.
[GP110.SubP105]
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. [GP110.SubP106]
There
are inherent risks that should be considered before any of the corrective
actions are taken. [GP110.SubP106.N102]
Corrective
action may include the following: [GP110.SubP106.N101]
· 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 have to be satisfied
· Terminating the effort
7. Track corrective action to closure. [GP110.SubP107]
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. See the definition of “objectively evaluate” in
Appendix C, the glossary. [GP113]
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 or over budget).
[GP113.N101]
Refer
to the Process and Product Quality Assurance process area for more information
about objectively evaluating adherence. [GP113.N101.R101]
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. [GP112]
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, not for
those who perform the direct day-to-day monitoring and controlling of the
process. [GP112.N102]
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. [GP112.N101]
A
capability level 3 process is characterized as a “defined process.” [CL104]
A defined
process is a managed (capability level 2) process that is tailored from the
organization's set of standard processes according to the organization’s tailoring
guidelines, and contributes work products, measures, and other
process-improvement information to the organizational process assets. [CL104.N106]
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 and
interfaces) between 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 Appendix C, the glossary. See Chapter 3 for an explanation
of how “organization’s set of standard processes” is used in the CMMI Product
Suite. [CL104.N101]
The
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. See Chapter 3 for an explanation of how
“organizational process assets” is used in the CMMI Product Suite. [CL104.N102]
A defined
process clearly states the following: [CL104.N103]
· Purpose
· Inputs
· Entry criteria
· Activities
· Roles
· Measures
· Verification steps
· Outputs
· Exit criteria
A defined
process is institutionalized by doing the following:
[CL104.N104]
· Addressing the items that institutionalize a managed process
· Following a plan that incorporates a defined process
· Collecting work products, measures, and improvement information for supporting the use and improvement of the organizational process assets
See
Chapter 3 for an explanation of how “defined process” is used in the CMMI
Product Suite. [CL104.N107]
A
critical distinction between a managed process and a defined process is the
scope of application of the process descriptions, standards, and procedures.
For a managed process, the process descriptions, standards, and procedures are
applicable to a particular project, group, or organizational function. As a
result, the managed processes for two projects within the same organization may
be very different. [CL104.N105]
At the
defined capability level, the organization is interested in deploying standard
processes that are proven and that therefore take less time and money than
continually writing and deploying new processes. Because the process
descriptions, standards, and procedures are tailored from the organization's
set of standard processes and related organizational process assets, defined
processes are appropriately consistent across the organization. Another
critical distinction is that a defined process is described in more detail and
performed more rigorously than a managed process. This 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. [CL104.N108]
GG 3 Institutionalize a Defined Process
The process is institutionalized as a defined
process. [CL104.GL101]
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. [GP114]
Refer
to the Organizational Process Definition process area for more information
about the organization's set of standard processes and tailoring guidelines. [GP114.R101]
The descriptions
of the defined processes provide the basis for planning, performing, and
managing the activities, work products, and services associated with the
process. [GP114.N102]
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.
[GP114.SubP101]
2. Establish the defined process by tailoring
the selected processes according to the organization’s tailoring guidelines. [GP114.SubP102]
3. Ensure that the organization’s process
objectives are appropriately addressed in the defined process. [GP114.SubP103]
4. Document the defined process and the records
of the tailoring. [GP114.SubP104]
5. Revise the description of the defined
process as necessary. [GP114.SubP106]
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. [GP117]
Examples
of relevant information include the effort expended for the various activities,
defects injected or removed in a particular activity, and lessons learned. [GP117.N101]
Refer
to the Organizational Process Definition process area for more information
about the organization’s measurement repository and process asset library and
for more information about the work products, measures, and improvement
information that are incorporated into these organizational process assets. [GP117.N101.R101]
Subpractices
1. Store process and product measures in the
organization's measurement repository. [GP117.SubP102]
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. [GP117.SubP102.N101]
2. Submit documentation for inclusion in the
organization’s process asset library. [GP117.SubP103]
3. Document lessons learned from the process
for inclusion in the organization’s process asset library. [GP117.SubP104]
4. Propose improvements to the organizational
process assets. [GP117.SubP101]
A
capability level 4 process is characterized as a “quantitatively managed
process.” [CL105]
A
quantitatively managed process is a defined (capability level 3) process that
is controlled using statistical and other quantitative techniques. Quantitative
objectives for quality and process performance are established and used as
criteria in managing the process. The quality and process performance are
understood in statistical terms and are managed throughout the life of the
process. [CL105.N111]
See
Chapter 3 for an explanation of how “quality and process-performance
objectives” is used in the CMMI Product Suite.
[CL105.N112]
The
quantitative objectives are based on the capability of the organization's set
of standard processes, the organization’s business objectives, and the needs of
the customer, end users, organization, and process implementers, subject to
available resources. [CL105.N101]
The
people performing the process are directly involved in quantitatively managing
the process. [CL105.N102]
Quantitative
management is performed on the overall set of processes that produces a product
or provides a service. The subprocesses that are significant contributors to
overall process performance are statistically managed. For these selected
subprocesses, detailed measures of the process performance are collected and
statistically analyzed. Special causes of process variation are identified and,
where appropriate, the source of the special cause is addressed to prevent
future occurrences. [CL105.N103]
The
quality and process performance measures are incorporated into the
organization’s measurement repository to support future fact-based decision
making. [CL105.N104]
A
quantitatively managed process is institutionalized by doing the following: [CL105.N105]
· Addressing the items that institutionalize a defined process
· Establishing and maintaining quantitative objectives for quality and process performance
· Stabilizing the performance of subprocesses critical to the performance of the process
· Establishing and maintaining an understanding of the ability of the process to achieve the established quantitative objectives for quality and process performance
A
critical distinction between a defined process and a quantitatively managed
process is the predictability of the process performance. The term
“quantitatively managed” implies using appropriate statistical and other
quantitative techniques to manage the performance of one or more critical
subprocesses of a process so that the future performance of the process can be
predicted. A defined process only provides qualitative predictability. [CL105.N106]
Activities
for quantitatively managing the performance of a process include the following: [CL105.N110]
· Identifying the subprocesses that are to be brought under statistical management
· Identifying and measuring product and process attributes that are important contributors to quality and process performance
· Identifying and addressing special causes of subprocess variations (based on the selected product and process attributes and subprocesses selected for statistical management)
· Managing each of the selected subprocesses, with the objective of bringing their performance within natural bounds (i.e., making the subprocess performance statistically stable and predictable based on the selected product and process attributes)
· Predicting the ability of the process to satisfy established quantitative quality and process-performance objectives
· Taking appropriate corrective actions when it is determined that the established quantitative quality and process-performance objectives will not be satisfied
The
corrective actions described above include changing the objectives or ensuring
that relevant stakeholders have a quantitative understanding of, and have
agreed to, the performance shortfall. [CL105.N109]
GG 4 Institutionalize a Quantitatively Managed Process
The process is institutionalized as a
quantitatively managed process.
[CL105.GL101]
GP 4.1 Establish Quantitative Objectives for the Process
Establish and maintain quantitative objectives for the process that 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. [GP118]
Refer
to the Quantitative Project Management process area for information on how quantitative
objectives are set for subprocesses of the project’s defined process. [GP118.R101]
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. [GP118.N101]
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.
[GP118.N102]
Subpractices
1. Establish the quantitative objectives that
pertain to the process. [GP118.SubP101]
2. Allocate the quantitative objectives to the
process or its subprocesses. [GP118.SubP102]
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 (capability level 3) process that are critical
contributors to the overall performance using appropriate statistical and other
quantitative techniques. Stabilizing selected subprocesses of the process
supports predicting the ability of the process to achieve the established
quantitative quality and process-performance objectives.
[GP119]
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
may be small or large. [GP119.N103]
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.
[GP119.N104]
Selected
process and product measures are incorporated into the organization’s
measurement repository to support process performance analysis and future
fact-based decision making. [GP119.N101]
Subpractices
1. Statistically manage the performance of one
or more subprocesses that are critical contributors to the overall performance
of the process. [GP119.SubP101]
2. Predict the ability of the process to
achieve its established quantitative objectives considering the performance of
the statistically managed subprocesses. [GP119.SubP102]
3. Incorporate selected process performance
measurements into the organization’s process performance baselines. [GP119.SubP103]
A
capability level 5 process is characterized as an “optimizing process.” [CL106]
An
optimizing process is a quantitatively managed (capability level 4) process
that is changed and adapted to meet relevant current and projected business
objectives. An optimizing process focuses on continually improving the process
performance through both incremental and innovative technological improvements.
Process improvements that would address root causes of process variation and
measurably improve the organization’s processes are identified, evaluated, and
deployed as appropriate. These improvements are selected based on a
quantitative understanding of their expected contribution to achieving the
organization’s process-improvement objectives versus the cost and impact to the
organization. The process performance of the organization’s processes is
continually improved. [CL106.N107]
Selected
incremental and innovative technological process improvements are
systematically managed and deployed into the organization. The effects of the
deployed process improvements are measured and evaluated against the
quantitative process-improvement objectives.
[CL106.N103]
An
optimizing process is institutionalized by doing the following: [CL106.N104]
· Satisfying the items that institutionalize a quantitatively managed process
· Establishing and maintaining quantitative process-improvement objectives
· Identifying and deploying both incremental and innovative technological improvements that continually improve the range of process performance
A
critical distinction between a quantitatively managed process and an optimizing
process is that the optimizing process is continuously improved by addressing
common causes of process variation. A quantitatively managed process is
concerned with addressing special causes of process variation and providing
statistical predictability for the results. Though the process may produce
predictable results, the results may be insufficient to achieve the established
objectives. In a process that is optimized, common causes of process variation
are addressed by changing that process in a manner that will lead to a shift in
the mean or a decrease in variation when it is brought back to stability. These
changes are intended to improve process performance and achieve the
organization’s established process-improvement objectives. [CL106.N105]
A common
cause of process variation is a cause that is inherently part of a process and
affects the overall performance of the process. See the definition of “common
cause of process variation” in Appendix C, the glossary.
[CL106.N106]
GG 5 Institutionalize an Optimizing Process
The process is institutionalized as an optimizing
process. [CL106.GL101]
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. [GP125]
Optimizing
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. [GP125.N101]
Subpractices
1. Establish and maintain quantitative
process-improvement objectives that support the organization’s business
objectives. [GP125.SubP101]
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. [GP125.SubP101.N101]
These
process-improvement objectives are primarily derived 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
the 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).
[GP125.SubP101.N102]
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. [GP125.SubP101.N103]
2. Identify process improvements that would
result in measurable improvements to process performance. [GP125.SubP102]
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 the process performance and identifying
specific opportunities for significant measurable improvement. [GP125.SubP102.N101]
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. [GP125.SubP103]
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. [GP125.SubP103.N101]
Managing
deployment of the process improvements includes piloting of changes and
implementing adjustments where appropriate, addressing potential and real
barriers to the deployment, minimizing disruption to ongoing efforts, and
managing risks. [GP125.SubP103.N102]
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, to correct the root causes of these types of defects and
problems, and to prevent these defects and problems from occurring in the
future. [GP121]
Refer
to the Causal Analysis and Resolution process area for more information on
identifying and correcting root causes of selected defects. Even though the
Causal Analysis and Resolution process area has a project context, it can be
applied to processes in other contexts as well.
[GP121.R101]